TM
Todd A. Mauerman
MOORS & CABOT
Englewood, FL 34224
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CRD#: 1070495
TM
Professional summary
Todd Alan Mauerman is a registered financial advisor currently at MOORS & CABOT, INC. located in Englewood, Florida.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Todd has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 3, Series 52 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I*89918
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: TODD A MAUERMAN
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
NORWALK, CONNECTICUT 6850
NATURE OF BUSINESS: FAMILY BUSINESS,
POSITION, TITLE, ASSOCIATION: OWNER,
START DATE OF RELATIONSHIP: 42401
NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: I WILL BE RENTING MY VACATION HOME AT 3188 VILLAGE LANE, PORT CHARLOTTE, FL 33953 POTENTIALLY FOR MONTHS OF FEBRUARY - APRIL. I HAVE LISTED THE PROPERTY WITH RIVERWOOD REALTY IN PORT CHARLOTTE, FL. FOR SEASONAL RENTAL.
CRS (Client Relationship Summary) - RIA
Click below to view Todd Alan Mauerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Todd Alan Mauerman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 11, 2016 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Current
March 11, 2016 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Past
November 20, 2003 - March 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FAIRFIELD, CT
Past
September 10, 2003 - March 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FAIRFIELD, CT
Past
December 10, 1998 - September 17, 2001
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
BD
CRD#: 20989
NEW YORK, NY
Past
February 12, 1992 - December 31, 1996
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
April 3, 1984 - February 5, 1985
CHASE SECURITIES, INC.
BD
CRD#: 10793
Past
October 16, 1982 - April 3, 1984
CITICORP SECURITIES, INC.
BD
CRD#: 7474
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/11/2016)
RR
Connecticut(3/11/2016)
IAR
Connecticut(3/11/2016)
RR
District of Columbia(3/11/2016)
RR
Florida(3/11/2016)
IAR
Florida(8/26/2025)
RR
Georgia(3/11/2016)
IAR
Georgia(8/22/2025)
RR
Maryland(3/11/2016)
RR
Massachusetts(3/11/2016)
RR
New Jersey(3/11/2016)
RR
New York(3/11/2016)
RR
North Carolina(3/11/2016)
RR
Pennsylvania(2/27/2017)
RR
South Carolina(3/22/2019)
RR
Virginia(3/11/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MOORS & CABOT, INC.
CRD#: 594Englewood, FL 34224TRUST BUT VERIFY
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Contact information
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