Joanne Mazzucco
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.
Joanne Mazzucco was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1975. Joanne had worked at 7 firms and has passed the SIE, PC, Series 7 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2004 - November 1, 2004
HENLEY & COMPANY LLC
September 3, 2002 - February 6, 2019
DAROTH CAPITAL ADVISORS LLC
February 14, 1994 - October 11, 2000
BLAYLOCK & COMPANY, INC.
August 20, 1980 - March 3, 1993
DEPAOLIS & CO.
September 28, 1978 - May 3, 1980
MARKETFIELD SECURITIES LIMITED
January 20, 1978 - July 23, 1978
LEHMAN BROTHERS INC.
October 23, 1975 - May 3, 1978
KUHN LOEB & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 11/30/1983
AMEX Put and Call ExamF04
Date: 7/28/1980
Financial Principal ExaminationCurrent Firm
HENLEY & COMPANY LLC
CRD#: 131453 / SEC#: , 8-66463
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
