Todd Philip Mazzo

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-08-30

NY RA
APPROVED

Since 2023-08-30

Branch Locations

215 Merchants Road, Rochester, NY 14609 • United States

225 Chestnut Street, Rochester, NY 14604 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Equitable Advisors	New York	NY	04/2021	07/2023
Wyzant	Chicago	IL	01/2019	Present
Grub Hub	Chicago	IL	09/2018	12/2020
Door Dash	Penfield	NY	03/2019	03/2020
Uber	San Francisco	CA	10/2017	03/2020
Keystone Capital Partners Group	East Rochester	NY	01/2018	04/2018
Unemployed	Penfield	NY	04/2017	10/2017
Karpus Investment Management	Pittsford	NY	02/2014	04/2017
Lpl Financial Llc	Rochester	NY	08/2023	Present
Esl Investment Services, Llc	Rochester	NY	08/2023	Present

04/2021 → 07/2023

Equitable Advisors

New York, NY
01/2019 → Present

Wyzant

Chicago, IL
09/2018 → 12/2020

Grub Hub

Chicago, IL
03/2019 → 03/2020

Door Dash

Penfield, NY
10/2017 → 03/2020

Uber

San Francisco, CA
01/2018 → 04/2018

Keystone Capital Partners Group

East Rochester, NY
04/2017 → 10/2017

Unemployed

Penfield, NY
02/2014 → 04/2017

Karpus Investment Management

Pittsford, NY
08/2023 → Present

Lpl Financial Llc

Rochester, NY
08/2023 → Present

Esl Investment Services, Llc

Rochester, NY

Previous Registrations

2021-06-01 → 2023-07-18

Equitable Advisors, Llc

Rochester, NY

Other Businesses

1) 8/30/2023: Wyzant; Other; Not Inv. related; Tutoring students and professionals online; Chicago IL; Start date 01/01/2019; 0hrs during trading. 2) 9/8/2023: ESL INVESTMENT SERVICES; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. Related; start date 8/14/2023; 20hrs/mo.; 1hr during trading. 3) 9/11/2023: ESL Investments Services LLC; At reported business location(s); Non-Variable Insurance; Investment related; start date 8/14/2023; 20hrs/mo.; 1hr during trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-05-11
S65	Uniform Investment Adviser Law Examination	2018-10-10

S66 Uniform Combined State Law Examination

2021-05-11
S65 Uniform Investment Adviser Law Examination

2018-10-10

View on SEC IAPD