Marlene Mazur

CETERA ADVISORS LLC

Colts Neck, NJ 07722

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CRD#: 854366

Professional summary

Marlene Mazur, who also goes by Marlene Tomaro Mazur, Marlene Tomaro, is a registered financial professional currently at CETERA ADVISORS LLC located in Colts Neck, New Jersey.

Marlene is registered as a RR (Registered Representative) and started their career in finance in 1978. Marlene has worked at 12 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 62, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marlene Tomaro Mazur | Marlene Tomaro

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) - BD

Click below to view Marlene Mazur'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

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 174 Route 537, Colts Neck, NJ 07722

CRD#: 10299

Colts Neck, NJ

Past

May 1, 2014 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

Colts Neck, NJ

Past

January 26, 2007 - May 16, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

COLTSNECK, NJ

Past

December 8, 2005 - January 26, 2007

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

COLTS NECK, NJ

Past

October 7, 2003 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

June 3, 2003 - June 5, 2003

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 16, 1991 - October 14, 2003

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Past

December 2, 1987 - August 21, 1991

WORLD INVESTMENTS, LLC

CRD#: 20626

LINCROFT, NJ

Past

July 14, 1987 - December 8, 1987

MONARCH INVESTMENTS INC.

CRD#: 18208

Past

November 13, 1986 - July 21, 1987

STUART STONE & CO., LLC

CRD#: 18190

Past

November 6, 1985 - November 19, 1986

FOCUS SECURITIES, INC.

CRD#: 15023

Past

March 6, 1979 - November 29, 1985

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

Past

July 17, 1978 - March 27, 1979

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

State Registrations and Notice Filings

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

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

California
(10/3/2016)

Colorado
(1/4/2022)

Delaware
(10/3/2016)

Florida
(10/27/2016)

Nevada
(10/3/2016)

New Jersey
(10/3/2016)

New York
(10/3/2016)

Pennsylvania
(10/3/2016)

Exams

State Security Law Exam

Series 63

Date: 7/3/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 10/3/1988

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 1

Date: 7/10/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2023	Cover Page	Report

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.

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Marlene Mazur

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marlene Mazur's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTORS CAPITAL CORP.

WRP INVESTMENTS, INC.

UNITED SECURITIES ALLIANCE, INC.

PAN-AMERICAN FINANCIAL ADVISERS

CETERA ADVISORS LLC

INVESTMENT ADVISORS & CONSULTANTS, INC.

WORLD INVESTMENTS, LLC

MONARCH INVESTMENTS INC.

STUART STONE & CO., LLC

FOCUS SECURITIES, INC.

CARDELL & ASSOCIATES, INCORPORATED

INDEPENDENT FINANCIAL PLANNERS CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/2003

Series 6TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 62

Date: 10/3/1988

Series 1

Date: 7/10/1978

Series 24

Date: 10/4/1989

FINRA

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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