Stephen R Mazzarella

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2004 → Present
  Lpl Financial Llc
  Livingston, NJ

Previous Registrations

• 2002-08-28 → 2004-09-13
  Equity Services, Inc.
  W Orange, NJ

Other Businesses

(1) 09/17/2004: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - SELL FIXED UNIVERSAL LIFE, TERM, WHOLE LIFE, DIS & LTC (2) 08/18/2016: Diversified Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 293 Eisenhower Parkway, Livingston, NJ 07039 - Start 08/15/2016 - 0 Hr/Mo (3) 08/23/2016: Diversified Wealth Management Group - Non-Variable Insurance DBA - DBA: Diversified Wealth Management Group - Investment Related - At Reported Business Location(s) - 25% Time Spent - SELL Life, Health, Disability, LTC (4) 7/31/2018 - Strategic Advisors Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:07/02/2018 - 20 Hours Per Month/10 Hours During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2002-08-23

Other Names

• Stephen Mazzarella