Emilio M. Maffucci
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.
Emilio Michael Maffucci, who also goes by Emilio M Maffucci, was a registered financial professional .
Emilio is a previously registered financial professional and started their career in finance in 1983. Emilio had worked at 9 firms and has passed the Series 63, Series 65, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2008 - February 17, 2012
TD AMERITRADE, INC.
December 22, 2008 - February 17, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 15, 2008 - February 17, 2012
TD AMERITRADE, INC.
May 21, 2004 - October 1, 2008
FIDELITY BROKERAGE SERVICES LLC
August 9, 2000 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
February 14, 1990 - August 15, 2000
CADARET, GRANT & CO., INC.
March 28, 1989 - December 31, 1989
CETERA ADVISORS LLC
June 12, 1987 - April 11, 1989
GOLDMAN, LASS SECURITIES
May 23, 1985 - February 23, 1987
MONY SECURITIES CORPORATION
May 12, 1983 - April 12, 1985
FORESTERS FINANCIAL SERVICES, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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