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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Karney Mazzola is an active investment advisor representative and registered representative with Charles Schwab & CO., Inc. in WESTLAKE, TX. Joseph Mazzola has been in the industry since April 14, 2006, and has experience with TD Ameritrade, Inc., RFS PARTNERS, THINKORSWIM, INC., and BEAR, STEARNS & CO. INC. Joseph Mazzola is registered with FINRA and holds Series 3, 4, 7, 24, 55, 63 and 66 licenses. In addition to working with Charles Schwab & CO., Inc., Joseph Mazzola has experience with Thinkorswim advisors, Shelton Capital Management, and TD Ameritrade.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
01/11/2022 - Present
Charles Schwab & CO., Inc. (WESTLAKE TX)
CA
05/16/2023 - 05/19/2024
TD AMERITRADE, INC. (San Francisco CA)
CA
01/08/2015 - 03/08/2018
RFS PARTNERS (SAN FRANCISCO CA)
NE
06/26/2009 - 01/06/2015
TD AMERITRADE, INC. (OMAHA NE)
IL
05/07/2008 - 05/27/2010
THINKORSWIM, INC. (CHICAGO IL)
NY
09/11/2001 - 10/17/2003
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IA
Issued 01/21/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/07/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/25/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/13/2018
Series 24 - General Securities Principal Examination
BC
Issued 04/21/2009
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2009
Series 3 - National Commodity Futures Examination
BC
Issued 05/06/2008
Series 7 - General Securities Representative Examination
BC
Issued 12/17/2001
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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