AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JM

Joseph S. Mauro

ANZ SECURITIES
New York, NY 10172-0003
Some features on this profile are disabled
CRD#: 1837938
JM

Professional summary

Joseph Scott Mauro, who also goes by Scott Joseph Mauro, is a registered financial professional currently at ANZ SECURITIES, INC. located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1994. Joseph has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Joseph Mauro

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Scott Mauro'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®
None

Experience

Current

January 5, 2015 - Present

ANZ SECURITIES, INC.

Office #1: 277 Park Avenue Floor 31, New York, NY 10172-0003Office #2: 277 Park Avenue Floor 31, New York, NY 10172
BD
CRD#: 36654
New York, NY
Past

December 2, 2014 - January 7, 2015

QUANTITATIVE BROKERS, LLC

BD
CRD#: 169876
NEW YORK, NY
Past

June 17, 2010 - January 7, 2015

MYD MARKET, INC

BD
CRD#: 29019
NEW YORK, NY
Past

November 12, 2008 - June 1, 2010

SECURITY DEALERS GUILD, INC.

BD
CRD#: 28437
RYE BROOK, NY
Past

February 22, 2005 - November 22, 2006

KBC SECURITIES USA LLC

BD
CRD#: 46709
NEW YORK, NY
Past

February 1, 2000 - December 8, 2004

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

June 15, 1998 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

March 23, 1998 - May 26, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 23, 1997 - January 13, 1998

TAYLOR STUART FINANCIAL, INC.

BD
CRD#: 39025
GREAT NECK, NY
Past

March 28, 1997 - September 3, 1997

CITICORP SECURITIES SERVICES, INC.

BD
CRD#: 15387
NEW YORK, NY
Past

June 20, 1994 - October 4, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(1/5/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/1996
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/23/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 8/5/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/22/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

AS
ANZ SECURITIES, INC.
ANZ SECURITIES, INC.

CRD#: 36654 / SEC#: , 8-47390

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Mailing Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Phone number
(212) 801-9160
Established
New York since 04/07/1994
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANZ FUNDS PTY LIMITEDOWNER
AHARON, AMIEL LEVYPRESIDENT2573889
KARPUKHIN, ALEXANDER AFINOP6926592
MAURO, JOSEPH SCOTTCCO1837938

Disclosures

Regulatory Event3

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

ANZ SECURITIES, INC.

CRD#: 36654New York, NY 10172-0003

TRUST BUT VERIFY

Monitor Joseph Mauro

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics