Scott Nicholas Zambelli

Current Employers

Employment History

• 08/2016 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 08/2016 → Present
  Heritage Harbor Financial Associates (Dba)
  Mt. Sinai, NY
• 06/2020 → 06/2024
  Securities America Inc
  Port Jefferson Station, NY
• 06/2020 → 06/2024
  Securities America Advisors
  Port Jefferson Station, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Port Jefferson Station, NY

Previous Registrations

• 2020-06-26 → 2024-06-14
  Securities America Advisors, Inc.
  Port Jefferson Station, NY
  East Moriches, NY
• 2017-02-14 → 2020-07-07
  Equitable Advisors, Llc
  Mt. Sinai, NY
  Melville, NY
  Port Jefferson, NY

Other Businesses

1. HERITAGE HARBOR PLAZA, LLC POSITION: President NATURE: We have ownership in our building through this LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 12/24/2014 ADDRESS: 106 Crystal Brook Hollow Road, Port Jefferson Station NY 11776, United States DESCRIPTION: We opened this LLC to purchase the building we are in. 2. MERIDIAN HERITAGE, LLC POSITION: Managing Partner NATURE: LLC which owns our existing building with another group 60-40 INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 06/02/2017 ADDRESS: 2410 North Ocean Avenue, Farmingdale NY 11738, United States DESCRIPTION: I will share in the management of the building 3. SUFFOLK COUNTY POLICE ATHLETIC LEAGUE POSITION: Volunteer NATURE: Community outreach program for children. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2010 ADDRESS: 30 Yaphank Avenue, Yaphank NY 11980, United States DESCRIPTION: Volunteer work. Control direction of the organization. Make decisions by majority. 4. HERITAGE HARBOR FINANCIAL ASSOCIATES POSITION: Managing partner NATURE: We created an LLC for our DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 02/12/2018 ADDRESS: 106 Crystal Brook Hollow Road, Port Jefferson Station NY 11776, United States DESCRIPTION: This is our DBA firm name. 5. SUFFOLK COUNTY POLICE ATHLETIC LEAGUE POSITION: Executive Board member NATURE: 1st Vice President of Suffolk County Police Athletic League. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2021 ADDRESS: PO Box 26, Yaphank NY 11980, United States DESCRIPTION: Vice President in the absence or disability of the President, the First VP shall perform all duties of the President and when acting, shall have all the powers of and be subject to all restriction on the President; 6. Trustee -My aunt and Uncle are requesting to make me a trustee of their estate. They do not have any assets with me or my firm. They do not plan to put assets with me or my firm. I understand if this is approved, I cannot accept any assets from them as it is prohibited. INVEST RELATED No #HRS 0 SEC TRADE HRS 0 9/22/23 -15 Orient Dr, Brentwood NY 11706 -Trustee of my aunt and uncle's estate. No assets are held with me or my firm. 7.SCOTT ZAMBELLI - INSURANCE AGENT POSITION: Insurance Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 02/01/2023 ADDRESS: 106 Crystal Brook Hollow Road, Port Jefferson Station NY 11776, United States DESCRIPTION: Sales and Service of fixed insurance and annuities.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-02-03
• S63 Uniform Securities Agent State Law Examination
  1992-10-08

Designations