Joseph S. 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.
Joseph Scott Mauro, who also goes by Scott Joseph Mauro, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 11 firms and has passed the Series 63, Series 65, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 10, Series 9, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - February 26, 2026
ANZ SECURITIES, INC.
December 2, 2014 - January 7, 2015
QUANTITATIVE BROKERS, LLC
June 17, 2010 - January 7, 2015
MYD MARKET, INC
November 12, 2008 - June 1, 2010
SECURITY DEALERS GUILD, INC.
February 22, 2005 - November 22, 2006
KBC SECURITIES USA LLC
February 1, 2000 - December 8, 2004
J.P. MORGAN SECURITIES INC.
June 15, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
March 23, 1998 - May 26, 1998
UBS FINANCIAL SERVICES INC.
September 23, 1997 - January 13, 1998
TAYLOR STUART FINANCIAL, INC.
March 28, 1997 - September 3, 1997
CITICORP SECURITIES SERVICES, INC.
June 20, 1994 - October 4, 1996
PRUDENTIAL EQUITY GROUP, 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
Series 99TO
Date: 8/5/2025
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 7/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ANZ SECURITIES, INC.
CRD#: 36654 / SEC#: , 8-47390
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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