Matthew J Mazzone

Current Employers

Employment History

• 05/2008 → 03/2017
  Berthel Fisher & Company Financial Services Inc
  Scotia, NY
• 03/2017 → Present
  Principal Securities, Inc.
  Clifton Park, NY

Previous Registrations

• 2006-06-20 → 2007-12-31
  Key Investment Services Llc
  Albany, NY
  Cohoes, NY
  Clifton Park, NY
• 2004-07-12 → 2005-12-31
  Keybanc Capital Markets Inc.
  Albany, NY

Other Businesses

***Fixed Insurance; Investment Related; Latham, NY; Broker; Life, Annuities, DI; Start Date: 11/12/2019; 60 hrs per month; 60 during trading hours.***Discover Schenectady; Not Investment Related; Schenectady, NY; Board Member; Growing travel and tourism in Schenedtady County.; Start Date: 05/01/2015; 2 hrs per month; 2 during trading hours.***Mazzone Consulting; Not Investment Related; Burnt Hills, NY; Consultant; Specifically working with hospitality companies and other small businesses to refine strategy, executive coaching, hiring, and assessing team dynamics in growing companies.; Start Date: 06/10/2020; 20 hrs per month; 20 during trading hours. ***M Zone Logistics; Not Investment Related; Amsterdam, NY; Owner; logistics company delivering packages for Amazon, sole owner. Day to dat activities typically handled by COO, payroll, lease, insurance, is handled by Matt when COO is unable.; Start Date: 11/02/2020; 10 hrs per month; 10 during trading hours. ***Mazzone Wedding Group; Not Investment Related; Latham, NY; Owner; Not engaged in day to day, responsibilities which are handled by spouse.; Start Date: 03/01/2021; 5 hrs per month; 0 during trading hours. LAWN DOCTOR OF CLIFTON PARK, BALLSTON SPA, SCHENECTADY AND AMSTERDAN POSITION: Owner NATURE: Lawn Doctor Franchise INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/18/2022 ADDRESS: 2 Lavant Lane, Burnt Hills NY 12027, United States DESCRIPTION: I have purchased a Lawn Doctor franchise. I will have full control over the banking accounts with check writing privileges for payroll and expense purposes. I will have no daily operational responsibilities as I have hired a COO to run those for me. I will not be receiving any compensation for the first few years, however will be taking profits from the business for those first few years. M ZONE REAL ESTATE LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/04/2022 ADDRESS: 581 SARATOGA RD, GLENVILLE NY 12302, United States DESCRIPTION: I bought this piece of real-estate and it is owned by the newly created LLC for Liability Protection. I will pay the taxes annually and ensure the property is maintained.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-07-02
• S63 Uniform Securities Agent State Law Examination
  2000-08-24

Other Names

• Matthew John Mazzone