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JM

John Mazzoni

Some features on this profile are disabled
CRD#: 6446752
JM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Mazzoni, who also goes by John Peter Bonner Mazzoni, John Peter Bonner Mazzoni, John Peter Mazzoni, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2019. John had worked at 5 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 99TO, Series 82TO, Series 87, Series 86, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Peter Bonner Mazzoni | John Peter Bonner Mazzoni | John Peter Mazzoni

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 11, 2025 - January 2, 2026

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

March 24, 2023 - July 9, 2024

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY
Past

June 6, 2021 - April 5, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

July 22, 2019 - June 16, 2021

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 21, 2019 - July 31, 2019

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/22/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/24/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22TO
Date: 3/24/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/24/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/24/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 87
Date: 7/8/2019
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 7/3/2019
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7TO
Date: 5/21/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/12/2019
Securities Industry Essentials Examination

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
PERICLES CAPITAL | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC

CRD#: 116270 / SEC#: , 8-53535

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

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

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