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Bruce Mazo

LPL Financial LLC
36 Years of Experience
Baltimore, MD
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Bruce Mazo is a registered investment advisor at LPL Financial LLC, based in Baltimore, MD, with 36 years of industry experience. Bruce is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Baltimore, MD

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
March 2022
Customer Dispute
May 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Bruce is involved in several business activities, including Secure Retirement Advisors LLC (life settlements and fixed insurance), Bright Futures Wealth Management LLC (financial services, dedicating about a quarter of his time), and writing articles for Medium.com (minimal time). He also serves on the finance committee for Temple Israel and as a director for Amazo Productions, Inc., spending minimal time on each.

Employment History
Current Registrations
LPL Financial LLC
January 2026 - Present · 9 mos
LPL Financial LLCBroker
January 2026 - Present · 9 mos
Previous Registrations
Silver Oak Securities, INC.
November 2025 - January 2026 · 2 mos
Silver Oak Securities, IncorporatedBroker
November 2025 - January 2026 · 2 mos
Cetera Investment Advisers LLC
March 2024 - November 2025 · 1 yr 8 mos
Cetera Advisors LLC
October 2010 - March 2024 · 13 yrs 5 mos
Cetera Advisors LLCBroker
October 2010 - November 2025 · 15 yrs 1 mo
Lincoln Financial Advisors Corporation
November 2006 - November 2010 · 4 yrs
Lincoln Financial Advisors CorporationBroker
November 2006 - November 2010 · 4 yrs
Edward JonesBroker
January 2006 - November 2006 · 10 mos
Metlife Investors Distribution CompanyBroker
January 2005 - September 2005 · 8 mos
The Lincoln National Life Insurance CompanyBroker
February 2003 - January 2005 · 1 yr 11 mos
Lincoln Financial Advisors Corporation
June 1998 - January 2005 · 6 yrs 7 mos
Lincoln Financial Advisors CorporationBroker
June 1998 - January 2005 · 6 yrs 7 mos
Cigna Financial Advisors,inc.Broker
August 1989 - June 1998 · 8 yrs 10 mos
State Registrations6 states
FLMDNCNJNYTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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