Ronald 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2002-05-21

NJ RA
APPROVED

Since 2002-05-21

Branch Locations

293 Eisenhower Pkwy. Suite 340, Livingston, NJ 07039-1719 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Livingston	NJ	06/2001	Present

06/2001 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Livingston, NJ

Other Businesses

1. 5/14/2008 - NON-VARIABLE INSURANCE DBA - DIVERSIFIED WEALTH MANAGEMENT GROUP - FIXED INSURANCE SALES. - TIME SPENT 25% - LIVINGSTON, NJ. 2. 5/14/2008 - NON-VARIABLE INSURANCE DBA - DIVERSIFIED WEALTH MANAGEMENT GROUP - FIXED ANNUITY SALES. - TIME SPENT 25% - LIVINGSTON, NJ. 3. 10/12/2012 - NON-VARIABLE INSURANCE DBA - DIVERSIFIED FINANCIAL PLANNERS - WE HAVE HAD THIS SINCE 1970 AND WOULD LIKE TO USE IT AS A DBA. I AM PRESIDENT. - TIME SPENT 75% - LIVINGSTON, NJ.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-06-12

S63 Uniform Securities Agent State Law Examination

1996-06-12

Designations

Chartered Financial Consultant

View on SEC IAPD