Robert J. Maurer
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.
Robert James Maurer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2008 - March 25, 2015
BOSTON PARTNERS SECURITIES, L.L.C.
April 17, 1998 - May 30, 2008
BOSTON PARTNERS SECURITIES, L.L.C.
September 22, 1987 - February 9, 1998
LAZARD FRERES & CO. LLC
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
BOSTON PARTNERS SECURITIES, L.L.C.
CRD#: 2998 / SEC#: , 8-15648
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
