Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ross? Claim Your ProfileRoss Azzarella is a financial advisor with Raymond James & Associates, Inc. Ross has been in the financial services industry for over 25 years. Ross is a registered representative in California and holds the Series 7, Series 31, Series 63, and Series 65 licenses. Ross has experience working with individual investors, high-net-worth individuals, corporations, and pension and profit sharing plans. Ross provides financial planning services, portfolio management services, and other advisory services.
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.
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.
Please see note in schedule d - miscellaneous
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.
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2
CA
12/07/2023 - Present
Raymond James & Associates, Inc. (NEWPORT BEACH CA)
CA
07/19/2023 - 09/07/2023
SECURITIES AMERICA, INC. (Laguna Hills CA)
CA
01/28/2020 - 04/26/2023
UBS FINANCIAL SERVICES INC. (SEAL BEACH CA)
CA
12/05/2013 - 01/31/2020
WELLS FARGO CLEARING SERVICES, LLC (NEWPORT BEACH CA)
CA
06/11/2010 - 02/15/2013
FINANCIAL TELESIS INC (ANAHEIM CA)
CA
09/08/2009 - 06/15/2010
LPL FINANCIAL CORPORATION (ANAHEIM CA)
CA
09/07/2007 - 09/08/2009
ASSOCIATED SECURITIES CORP. (ANAHEIM CA)
CA
03/23/2006 - 09/11/2007
HORNOR, TOWNSEND & KENT, INC. (ANAHEIM CA)
CA
10/31/2005 - 03/21/2006
AIG FINANCIAL ADVISORS, INC. (ANAHEIM CA)
AZ
01/29/2004 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
NY
02/05/2003 - 12/01/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
05/29/2002 - 02/05/2003
CAL FED INVESTMENTS (SACRAMENTO CA)
NJ
10/03/2000 - 03/12/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
11/26/1999 - 09/19/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
09/28/1998 - 12/08/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/28/1996 - 09/18/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/21/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 10/25/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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