Luigi Mazza: Oppenheimer Advisor Landed $139K Complaint

A recent, denied investor complaint against Coral Gables, Florida financial advisor Luigi Mazza (CRD# 3025837) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.

Mr. Mazza’s BrokerCheck report discloses one investor complaint. Filed in February 2025, it alleged that as a representative of Oppenheimer & Company, he recommended unsuitable investments and failed to follow instructions. The complaint alleged damages of $139,461 and was denied by the firm.

A second disclosure on Mr. Mazza’s BrokerCheck report discloses his termination from Raymond James & Associates. Filed in 2017, the disclosure states that he was terminated “after sending business-related e-mails containing [personal identifying information] through his personal e-mail account.”

Mr. Mazza’s LinkedIn profile includes a section describing his experience as a financial advisor. “Throughout my 20 years’ progressive success in finance, wealth management, and lending, I’ve earned an award-winning reputation for exceeding performance expectations, driving growth, and uncovering lucrative market opportunities,” it explains. “I’m a genuine relationship builder who thrives on driving growth by positioning myself as trusted advisor with clients and business partners.”

According to the Financial Industry Regulatory Authority, Luigi Mazza holds 26 years of securities industry experience. Based in Coral Gables, Florida, he has been registered as a broker and an investment advisor with Oppenheimer & Company since 2018. His past registrations include Raymond James & Associates, Morgan Stanley, Citigroup Global Markets, and Morgan Stanley DW. His credentials include the passage of four securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He is licensed in Alabama, California, Colorado, Florida, Kentucky, New Jersey, New York, South Carolina, Texas, and Wisconsin. (Information current as of April 12, 2025.)

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