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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Alan Mauerman is an Investment Advisor Representative associated with Moors & Cabot, Inc. Todd has been working in the financial services industry since September 19, 1993. Todd is currently registered as a registered representative (RR) and an investment advisor representative (IAR).
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
03/11/2016 - Present
Moors & Cabot, Inc. (Westport CT)
CT
09/10/2003 - 03/15/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FAIRFIELD CT)
NY
12/10/1998 - 09/17/2001
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC. (NEW YORK NY)
IL
02/12/1992 - 12/31/1996
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NA
04/03/1984 - 02/05/1985
CHASE MANHATTAN CAPITAL MARKETS CORPORATION
NA
10/16/1982 - 04/03/1984
CITICORP SECURITIES MARKETS, INC.
IA
Issued 09/26/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1992
Series 7 - General Securities Representative Examination
BC
Issued 01/25/1983
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1981
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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