Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mazzei is a Financial Advisor with Citigroup Global Markets Inc. James has over 20 years of experience in the financial industry. Prior to joining Citigroup Global Markets Inc. James was with JOSEPH GUNNAR & CO. LLC, J.P. MORGAN SECURITIES LLC, KNIGHT CAPITAL MARKETS LLC, KNIGHT EQUITY MARKETS, L.P., PUGLISI & CO., AMERICAN EXPRESS FINANCIAL ADVISORS INC., IDS LIFE INSURANCE COMPANY, SCHWAB CAPITAL MARKETS L.P., RAYMOND JAMES & ASSOCIATES, INC., WATERHOUSE SECURITIES, INC., IFG NETWORK SECURITIES, INC., WEALTH BUILDERS EQUITY CORPORATION, and THOMAS JAMES ASSOCIATES, INC. James holds Series 4, 7, 9, 10, 24, 25, 55, 57TO, and 63 licenses. James provides financial planning, portfolio management for individuals and businesses, asset allocation advice, pension consulting, publication of periodicals, and selection of other advisors. James also specializes in working with insurance companies, charitable organizations, pension and profit sharing plans, corporations or other businesses, high net worth individuals, and state or municipal government entities.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
NY
07/03/2023 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
04/04/2022 - 05/01/2023
JOSEPH GUNNAR & CO. LLC (NEW YORK NY)
NY
12/11/2012 - 04/04/2022
J.P. MORGAN SECURITIES LLC (New York NY)
NJ
08/21/2007 - 10/08/2010
KNIGHT CAPITAL MARKETS LLC (JERSEY CITY NJ)
NJ
09/21/2004 - 10/08/2010
KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)
NY
02/09/2004 - 08/31/2004
PUGLISI & CO. (NEW YORK NY)
MN
09/30/2003 - 02/10/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/30/2003 - 02/10/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
CT
04/12/2001 - 09/28/2001
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
FL
07/20/1998 - 02/25/2000
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NE
03/21/1996 - 07/07/1998
WATERHOUSE SECURITIES, INC. (OMAHA NE)
GA
01/01/1996 - 03/22/1996
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
NA
12/22/1993 - 01/01/1996
WEALTH BUILDERS EQUITY CORPORATION
NY
12/09/1991 - 02/28/1992
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
BC
Issued 04/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/24/2015
Series 4 - Registered Options Principal Examination
BC
Issued 12/22/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/04/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/05/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/09/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 12/06/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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