Mark Andrew Fezza

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
CT	RA	APPROVED	2006-11-06

CT RA
APPROVED

Since 2006-11-06

Branch Locations

2351 Boston Post Rd Building 3, Unit 303, Guilford, CT 06437 • 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
Lpl Financial, Llc	Rocky Hill	CT	11/2006	Present
Brook Wealth Management, Llc	Rocky Hill	CT	08/2007	12/2018

11/2006 → Present

Lpl Financial, Llc

Rocky Hill, CT
08/2007 → 12/2018

Brook Wealth Management, Llc

Rocky Hill, CT

Previous Registrations

2007-09-07 → 2018-12-31

Brook Wealth Management, Llc

Rocky Hill, CT
2003-07-02 → 2006-11-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Haven, CT

New Haven, CT

Other Businesses

1. 07/19/2022 - Fezza Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/25/2022 - 160 Hours Per Month/130 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-06-30

S66 Uniform Combined State Law Examination

2003-06-30

Designations

Certified Financial Planner

Other Names

Mark A Fezza

View on SEC IAPD