Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard James Mauro is a financial professional with over 20 years of experience in the financial services industry. He is currently registered with Virtu Americas LLC, a leading financial services firm. Richard has held a variety of roles throughout his career, including positions at UBS Securities LLC. Richard has a broad range of experience in the financial services industry, including securities trading, investment banking, and wealth management. He is licensed to provide financial advice in multiple states, including California, New Jersey, and New York. Richard is committed to providing his clients with the highest level of service and expertise.
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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NY
10/15/2013 - Present
Virtu Americas LLC (New York NY)
NY
10/23/2001 - 05/28/2013
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 12/12/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/11/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/22/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
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Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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