Douglas D. Mau
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.
Douglas David Mau, who also goes by Doug Mau, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 14 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2011 - March 14, 2012
FINTEGRA, LLC
August 5, 2008 - October 5, 2009
INVESTMENT CENTERS OF AMERICA, INC.
August 15, 2005 - December 18, 2007
VP DISTRIBUTORS LLC
January 20, 2004 - August 2, 2005
COMMUNITY BANKERS SECURITIES, LLC
December 6, 2001 - April 17, 2003
IFMG SECURITIES, INC.
January 6, 2000 - May 25, 2001
SAGE DISTRIBUTORS, INC.
September 10, 1998 - November 24, 1999
GUARANTY BROKERAGE SERVICES, INC.
July 15, 1997 - September 21, 1998
COREBRIDGE CAPITAL SERVICES, INC.
August 7, 1996 - July 15, 1997
SUNAMERICA SECURITIES, INC.
October 16, 1995 - August 15, 1996
CAPITAL BROKERAGE CORPORATION
November 2, 1994 - September 18, 1995
VICTORY CAPITAL SERVICES, INC.
June 26, 1990 - September 16, 1994
COMPULIFE INVESTOR SERVICES, INC.
February 10, 1986 - July 9, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
January 20, 1986 - March 18, 1986
THE GREAT-WEST LIFE ASSURANCE 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
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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