Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Mazzucco is an active investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas has been working in the financial industry since 1994. Douglas has held previous positions at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Douglas is registered in a number of states including California, Texas, Arizona, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Oregon, Pennsylvania, Tennessee, Utah, Washington and Wyoming. Douglas also holds the Series 63, Series 65, Series 7 and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/31/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ST HELENA CA)
CA
01/16/2009 - 12/11/2017
UBS FINANCIAL SERVICES INC. (NAPA CA)
CA
03/10/1994 - 01/20/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MENLO PARK CA)
IA
Issued 04/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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