Margaret A. Mauro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Margaret Anne Mauro, who also goes by Margaret Anne Brandfass, Margaret Anne Calkins, Margaret Calkins, Meg Calkins, Margaret Anne Yate, Margaret Brandfass Yates, Margaret Yates, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1982. Margaret had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2016 - October 6, 2016
CAPE SECURITIES INC.
August 2, 2010 - December 31, 2014
LINCOLN INVESTMENT
October 7, 1994 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 15, 1993 - April 24, 1996
VOYA FINANCIAL PARTNERS, LLC
August 26, 1993 - October 7, 1994
CONSECO EQUITY SALES, INC.
February 13, 1991 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 17, 1988 - March 19, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 1, 1986 - March 4, 1987
COMMONWEALTH FINANCIAL NETWORK
August 14, 1985 - June 23, 1986
MML INVESTORS SERVICES, LLC
September 13, 1982 - May 28, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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