Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Scott Mauro is a financial advisor with over 25 years of experience in the industry. Joseph has held various positions at prominent firms, including Paine Webber Incorporated, J.P. Morgan Securities Inc. and Hambrecht & Quist LLC. Joseph is currently registered with ANZ Securities, Inc. and is licensed to conduct business in New York.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
01/05/2015 - Present
ANZ Securities, Inc. (NEW YORK NY)
NY
12/02/2014 - 01/07/2015
QUANTITATIVE BROKERS, LLC (NEW YORK NY)
NY
06/17/2010 - 01/07/2015
MYD MARKET, INC (NEW YORK NY)
NY
11/12/2008 - 06/01/2010
SECURITY DEALERS GUILD, INC. (RYE BROOK NY)
NY
02/22/2005 - 11/22/2006
KBC FINANCIAL PRODUCTS USA, INC. (NEW YORK NY)
NY
02/01/2000 - 12/08/2004
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
06/15/1998 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NJ
03/23/1998 - 05/26/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/23/1997 - 01/13/1998
STATE STREET SECURITIES, INC. (GREAT NECK NY)
NY
03/28/1997 - 09/03/1997
NEWBRIDGE SECURITIES INC. (NEW YORK NY)
NY
06/20/1994 - 10/04/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 04/02/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/23/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/22/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/14/1997
Series 24 - General Securities Principal Examination
BC
Issued 07/10/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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