Mary M. Zbinden

LAUREL WEALTH ADVISORS

Charlotte, NC 28204

Some features on this profile are disabled

CRD#: 7147406

Professional summary

Mary Mazziotti Zbinden, who also goes by Mary Elizabeth Mazziotti, is a registered financial advisor currently at LAUREL WEALTH ADVISORS, LLC located in Charlotte, North Carolina.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Mary has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Elizabeth Mazziotti

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) - RIA

Click below to view Mary Mazziotti Zbinden's CRS (Customer Relationship Summary).

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

April 8, 2025 - Present

LAUREL WEALTH ADVISORS, LLC

Office #1: 1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204

RIA

CRD#: 118469

Charlotte, NC

Past

April 24, 2024 - February 26, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Nashville, TN

Past

September 13, 2019 - February 26, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Nashville, TN

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".

LAUREL WEALTH ADVISORS, LLC

LAUREL WEALTH ADVISORS, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVIVES, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVICES, LLC

CRD#: 118469 / SEC#: 801-69151

RIA

Registered Investment Advisory firm - (5/21/2008 Approved)

North Carolina

Registered Investment Advisory firm - (6/17/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/24/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/13/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/6/2019

Securities Industry Essentials Examination

Current Firm

LAUREL WEALTH ADVISORS, LLC

LAUREL WEALTH ADVISORS, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVIVES, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVICES, LLC

CRD#: 118469 / SEC#: 801-69151

RIA

Registered Investment Advisory firm - (5/21/2008 Approved)

North Carolina

Registered Investment Advisory firm - (6/17/2008 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204

Mailing Address

Phone number

(704) 927-4379

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAUREL WEALTH ADVISORS' PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,394
AUM (Assets Under Management)	$ 972,660,502

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mary M. Zbinden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Mazziotti Zbinden's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

LAUREL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2024

Series 63

Date: 10/4/2019

Series 7TO

Date: 9/13/2019

SIE

Date: 8/6/2019

Current Firm

LAUREL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAUREL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors