JF
John P. Fazzini
MADISON AVENUE SECURITIES
Mountaintop, PA 18707
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CRD#: 6729937
JF
Professional summary
John Paul Fazzini is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Mountaintop, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. John has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
2). NAME: JOHN P FAZZINI & ASSOCIATES LLC; INV RELATED:YES; ADDRESS:112 N MOUNTAIN BLVD., SUITE 1 MOUNTAINTOP, PA 18707; NATURE:INSURANCE AND FIXED INDEXED ANNUITIES; POSITION:PRESIDENT; START DATE:1/2023; HOURS/MONTH:4 - 8 HOURS PER WEEK; DUTIES: SALE OF INSURANCE AND ANNUITY INVESTMENTS. 3). NAME: JOHN P FAZZINI & ASSOCIATES LLC DBA FAZZINI FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: 112 N MOUNTAIN BLVD., SUITE 1 MOUNTAINTOP, PA 18707; NATURE OF THE BUSINESS: INSURANCE AND ANNUITY BUSINESS; STARR DATE; 2/1/2025; HOURS PER WEEK: 4-8 HOURS
CRS (Client Relationship Summary) - RIA
Click below to view John Paul Fazzini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Paul Fazzini'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®
NoneExperience
Current
January 11, 2018 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 112 N Mountain Blvd. Suite 1, Mountaintop, PA 18707RIA
BD
CRD#: 23224
Mountaintop, PA
Current
August 4, 2017 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 112 N Mountain Blvd. Suite 1, Mountaintop, PA 18707RIA
BD
CRD#: 23224
Mountaintop, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(2/25/2022)
RR
California(5/10/2024)
RR
Florida(5/24/2021)
RR
Maryland(8/25/2023)
RR
New Hampshire(8/4/2025)
RR
New York(2/22/2019)
RR
North Carolina(9/25/2020)
RR
Pennsylvania(1/11/2018)
IAR
Pennsylvania(1/11/2018)
RR
South Carolina(1/7/2020)
RR
Texas(1/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
