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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

JOSEPH NICHOLAS MAZZUCCO

Advisor at LPL FINANCIAL LLC

PURCHASE, NY | BOCA RATON, FL

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Search this name across graphsid dfx:ria:0359fb00-ad53-4d02-7be3-446b7069d046

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 22, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 29, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 29, 2005
First registration: Apr 22, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 4947458

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 14, 2025	n/a	yes	BOCA RATON, FL\|PURCHASE, NY	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	May 9, 2016	Sep 10, 2019	no	RYE BROOK, NY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 22, 2016	May 4, 2016	no	Tarrytown, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 22, 2010	Apr 27, 2016	no	PURCHASE, NY\|NEW CITY, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	LPL FINANCIAL LLC	Sep 10, 2019	Jan 14, 2025	1,953	Firm change after gap	Wirehouse to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	J.P. MORGAN SECURITIES LLC	May 4, 2016	May 9, 2016	5	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 27, 2016	Apr 22, 2016	-5	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 14, 2025 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 9, 2016 to Sep 10, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 22, 2016 to May 4, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 22, 2010 to Apr 27, 2016factForm ADV

Dated events

No dated event names this entity yet.