Charles Mazziotti

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

445 Broadhollow Rd Ste 400, Melville, NY 11747 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Invest Financial Corporation	Tampa	FL	07/2005	02/2018
Lpl Financial Llc	Melville	NY	02/2018	Present

07/2005 → 02/2018

Invest Financial Corporation

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Melville, NY

Other Businesses

1. 02/14/2018 - LCM Marketing Corp - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Joint Owner - Start Date 1996 - Time Spent 5%. 2. 02/14/2018 - No Business Name - Not Investment Related - Melville, NY - Real Estate Rental - Time Spent 1%.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-09-29

S63 Uniform Securities Agent State Law Examination

1989-09-29

Other Names

Charles Mazziotti

View on SEC IAPD