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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

BRUCE ALAN MAZO

Advisor at LPL FINANCIAL LLC

BALTIMORE, MD

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 1, 1998 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: Sep 19, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 19, 1989
First registration: Jun 1, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 1970174

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 26, 2026	n/a	yes	BALTIMORE, MD	Current employment
SILVER OAK SECURITIES, INC.	Bd affiliated wealth	Nov 5, 2025	Jan 22, 2026	no	Baltimore, MD\|JACKSON, TN\|Baltimore, MD\|Northborough, MA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 21, 2024	Nov 3, 2025	no	RHINEBECK, NY\|BALTIMORE, MD	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Oct 29, 2010	Mar 21, 2024	no	SHREWSBURY, MA\|NORTHBOROUGH, MA\|NEWTON, MA\|NORTHBOROUGH, MA\|BALTIMORE, MD\|RHINEBECK, NY	Previous registration
OSAIC FA, INC.	Former SEC adviser	Nov 27, 2006	Nov 1, 2010	no	TREASURE ISLAND, FL\|PALM HARBOR, FL\|JACKSONVILLE, FL\|PALM HARBOR, FL	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jun 1, 1998	Jan 10, 2005	no	PALM HARBOR, FL	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
SILVER OAK SECURITIES, INC.	LPL FINANCIAL LLC	Jan 22, 2026	Jan 26, 2026	4	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	SILVER OAK SECURITIES, INC.	Nov 3, 2025	Nov 5, 2025	2	Firm change	Ibd to ibd
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Mar 21, 2024	Mar 21, 2024	0	Bulk transfer	Ibd to ibd
OSAIC FA, INC.	CETERA ADVISORS LLC	Nov 1, 2010	Oct 29, 2010	-3	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 26, 2026 to presentfactForm ADV
→ SILVER OAK SECURITIES, INC.Registered adviserregistration: previous registration
Nov 5, 2025 to Jan 22, 2026factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 21, 2024 to Nov 3, 2025factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Oct 29, 2010 to Mar 21, 2024factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Nov 27, 2006 to Nov 1, 2010factForm ADV

Dated events

Occurred
Jan 22, 2026
Advisor changed firm
Bruce Alan Mazo left Silver Oak Securities, Inc. for Lpl Financial Llc (registered 2026-01-26)
Form ADVobserved 6 days ago
Occurred
Nov 3, 2025
Advisor changed firm
Bruce Alan Mazo left Cetera Investment Advisers Llc for Silver Oak Securities, Inc. (registered 2025-11-05)
Form ADVobserved 6 days ago