Thomas J. Mazza
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.
Thomas John Mazza, who also goes by Thomas Mazza, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2014 - July 2, 2019
FORTUNE FINANCIAL SERVICES, INC.
February 6, 2014 - April 29, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 5, 2010 - July 2, 2013
EQUITY SERVICES, INC.
February 11, 2005 - July 7, 2008
NEW ENGLAND SECURITIES
December 11, 2000 - March 1, 2005
MONY SECURITIES CORPORATION
August 2, 1989 - January 5, 2001
MML INVESTORS SERVICES, LLC
February 27, 1984 - August 18, 1989
G. R. PHELPS & CO., INC.
July 6, 1982 - June 15, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
May 25, 1979 - July 9, 1982
PRINCIPAL SECURITIES, INC.
August 28, 1978 - October 23, 1983
KEENAN FINANCIAL & INSURANCE SERVICES, INC.
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
Series 1
Date: 8/21/1978
Registered Representative ExaminationSeries 2
Date: 3/3/1977
Non-Member General Securities ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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