Raffaele N. Mazzone

LEGACY FINANCIAL ADVISORS

BALTIMORE, MD 21209

Some features on this profile are disabled

CRD#: 7260631

Professional summary

Raffaele Nicholas Mazzone is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS located in Baltimore, Maryland.

Raffaele is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Raffaele has worked at 5 firms and has passed the Series 66, Series 7TO and SIE 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.

1. Baltimore Union, Non-Investment Related, 9033 Honeygo Blvd Perry Hall, MD 21128, Position: Coach, Business Nature: Athletics, Start Date: 2/7/24, Hours Per Month: 10; Hours during Securities Trading hours: 0, Duties: Coaching; Run training sessions

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raffaele Nicholas Mazzone'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

June 10, 2025 - Present

LEGACY FINANCIAL ADVISORS

Office #1: 1421 Clarkview Road Suite 108, Baltimore, MD 21209

RIA

CRD#: 335357

BALTIMORE, MD

Past

September 21, 2023 - May 23, 2025

FOUNDERS FINANCIAL SECURITIES LLC

RIA

CRD#: 137945

TOWSON, MD

Past

May 9, 2023 - May 23, 2025

FOUNDERS FINANCIAL SECURITIES LLC

CRD#: 137945

TOWSON, MD

Past

January 28, 2022 - April 11, 2023

TRIAD ADVISORS LLC

CRD#: 25803

Owings Mills, MD

Past

July 20, 2021 - November 9, 2021

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Charlotte, NC

Past

February 22, 2021 - June 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNT VALLEY, MD

Past

January 12, 2021 - June 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNT VALLEY, MD

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

Maryland
(6/10/2025)

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 66

Date: 2/19/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/12/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/26/2020

Securities Industry Essentials Examination

Current Firm

LEGACY FINANCIAL ADVISORS

LEGACY FINANCIAL ADVISORS | LEGACY FINANCIAL ADVISORS, LLC

CRD#: 335357 / SEC#:

Maryland

Registered Investment Advisory firm - (6/10/2025 Approved)

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

1421 Clarkview Road Suite 108, Baltimore, MD 21209

Mailing Address

Phone number

(410) 929-3830

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Raffaele N. Mazzone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raffaele Nicholas Mazzone's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY FINANCIAL ADVISORS

FOUNDERS FINANCIAL SECURITIES LLC

FOUNDERS FINANCIAL SECURITIES LLC

TRIAD ADVISORS LLC

ROBINHOOD FINANCIAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2021

Series 7TO

Date: 1/12/2021

SIE

Date: 6/26/2020

Current Firm

LEGACY FINANCIAL ADVISORS

Contact information

Documents

Red Flags

Company Information

LEGACY FINANCIAL ADVISORS

TRUST BUT VERIFY

Similar Advisors