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DR

Dustin A. Ramsey

MAZZONE & ASSOCIATES
Atlanta, GA 30309
Some features on this profile are disabled
CRD#: 5635287
DR

Professional summary

Dustin Alan Ramsey is a registered financial professional currently at MAZZONE & ASSOCIATES, LLC located in Atlanta, Georgia.

Dustin is registered as a RR (Registered Representative) and started their career in finance in 2013. Dustin has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dustin Alan Ramsey's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 16, 2013 - Present

MAZZONE & ASSOCIATES, LLC

Office #1: 75 Fourteenth St., Ne, Suite 2800 Office Tower At Four Seasons, Atlanta, GA 30309
BD
CRD#: 144159
Atlanta, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/16/2013)
RR
Georgia
(2/21/2014)
RR
South Carolina
(2/21/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/13/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M&
MAZZONE & ASSOCIATES, LLC
M&A VISION COMPANY | MAZZONE & ASSOCIATES, LLC | MAZZONE & ASSOCIATES, INC.

CRD#: 144159 / SEC#: , 8-67639

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
75 Fourteenth St., Ne, Suite 2800 Office Tower At Four Seasons, Atlanta, GA 30309
Mailing Address
75 Fourteenth St., Ne, Suite 2800 Office Tower At Four Seasons, Atlanta, GA 30309
Phone number
(404) 574-5745
Established
Georgia since 02/02/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAZZONE, DOMINIC CHARLESCEO/CCO/EXEC. REP/AMLCO
SANFORD, JOSEPH STUARTFINOP & CHIEF FINANCIAL OFFICER5361444

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MAZZONE & ASSOCIATES, LLC

CRD#: 144159Atlanta, GA 30309

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