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Michael Mazza

Charles Schwab & CO., Inc.

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About Michael Mazza

Michael Mazza is a financial advisor at Charles Schwab & Co., Inc. Michael has been in the financial services industry since 2001 and has experience working with TD Ameritrade, INC., SAGEPOINT FINANCIAL, INC., and AMERICAN GENERAL SECURITIES INCORPORATED. Michael holds the Series 63, Series 66, Series 7, and SIE licenses and is a Certified Financial Planner. Michael is registered to offer investment advisory services in 37 states.

Firm Information

Michael Mazza is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Michael Mazza’s Registration & Firm History

AZ

01/26/2022 - Present

Charles Schwab & CO., Inc. (Tucson AZ)

AZ

09/23/2019 - 05/19/2024

TD AMERITRADE, INC. (Tucson AZ)

AZ

10/31/2008 - 09/11/2019

SAGEPOINT FINANCIAL, INC. (TUCSON AZ)

NJ

05/22/2003 - 10/31/2008

AMERICAN GENERAL SECURITIES INCORPORATED (WILLIAMSTOWN NJ)

MN

05/09/2001 - 09/30/2002

USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 09/26/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/25/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Michael Mazza. Review regulatory record here.
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