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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

GLENN PETER MAZZONE

Advisor at MORGAN STANLEY

Carlsbad, CA | San Diego, CA | La Jolla, CA

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Search this name across graphsid dfx:ria:b2b11659-f5f2-eed4-bb5c-aab91925cbd0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 17, 1999 to Sep 15, 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: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 25, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Sep 25, 1987
First registration: Dec 17, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1182593

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
MORGAN STANLEY	Wirehouse	Jun 1, 2009	n/a	yes	La Jolla, CA\|San Diego, CA\|Carlsbad, CA	Current employment
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SAN DIEGO, CA\|LA JOLLA, CA\|SAN DIEGO, CA\|RANCHO SANTE FE, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 7, 2005	Apr 2, 2007	no	SAN DIEGO, CA\|RANCHO SANTE FE, CA\|SAN DIEGO, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Nov 11, 2002	Feb 25, 2005	no	LAS VEGAS, NV	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Dec 17, 1999	Nov 26, 2002	no	SAN DIEGO, CA	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
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
RBC CAPITAL MARKETS, LLC	MORGAN STANLEY DW INC.	Feb 25, 2005	Mar 7, 2005	10	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	RBC CAPITAL MARKETS, LLC	Nov 26, 2002	Nov 11, 2002	-15	Firm change	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 7, 2005 to Apr 2, 2007factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Nov 11, 2002 to Feb 25, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Dec 17, 1999 to Nov 26, 2002factForm ADV

Dated events

No dated event names this entity yet.