VICTOR JAMES MAZZELLA - Investment Adviser at CETERA INVESTMENT ADVISERS LLC

Investment Adviser Public Disclosure SEC and NASAA logo Image

Investment Adviser Search
Investment Adviser Data
Form ADV Data
Resources
Investment Advisor Representative
Report Summary

Individual
Firm

When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.

< Back to Results

Detailed ReportReport

VICTOR JAMES MAZZELLA

CRD#: 2947250

Investment Adviser

Broker

CETERA INVESTMENT ADVISERS LLCCRD#: 105644

1408 SE 17TH AVENUE
CAPE CORAL, FL 33990

CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358

1408 SE 17TH AVENUE
SUITE F
CAPE CORAL, FL 33990

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Florida 7/6/2004

Washington 8/26/2021

Florida 7/9/2004

SRO Registrations

FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

CETERA INVESTMENT ADVISERS LLC (CRD#:105644)

1408 SE 17TH AVENUE, CAPE CORAL, FL 33990

Registered with this firm since 7/9/2004

CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)

1408 SE 17TH AVENUE SUITE F, CAPE CORAL, FL 33990

Registered with this firm since 6/30/2004

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	02/18/2000 - 10/29/2004	HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC. (CRD#:105560)	CAPE CORAL, FL
B	10/17/1997 - 06/30/2004	HOCHMAN & BAKER SECURITIES, INC. (CRD#:19949)	STAMFORD, CT

HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC. (CRD#:105560)

CAPE CORAL, FL

02/18/2000 - 10/29/2004

HOCHMAN & BAKER SECURITIES, INC. (CRD#:19949)

STAMFORD, CT

10/17/1997 - 06/30/2004

For additional information about investment advisers or broker-dealers, please visit

www.investor.gov

Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.