Stephen J. Mauer

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CRD#: 1868069

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.

Stephen Jay Mauer was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 2 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 9, 2013 - May 13, 2013

S.G. LONG & COMPANY

CRD#: 47511

MISSOULA, MT

Past

September 17, 1993 - November 13, 1995

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/1/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/8/2013

General Securities Representative Examination

Current Firm

S.G. LONG & COMPANY

S.G. LONG & COMPANY | SG LONG & COMPANY

CRD#: 47511 / SEC#: , 8-51816

Idaho

Registered Investment Advisory firm - SEC (1/8/2021 Approved)

Montana

Registered Investment Advisory firm - SEC (10/27/2017 Approved)

Texas

Registered Investment Advisory firm - SEC (12/21/2020 Approved)

Washington

Registered Investment Advisory firm - SEC (1/23/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

283 West Front Suite 302 Suite 302, Missoula, MT 59802

Mailing Address

283 West Front Suite 302, Missoula, MT 59802-4328

Phone number

(406) 721-0999

Established

Montana since 09/19/1995

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SG LONG FINANCIAL SERVICES CORPORATION	HOLDING COMPANY
SEIDENSCHWARZ, ROBERT GUY ISAAC	DIRECTOR	1011121
COOPER, DIRK NATHAN	DIRECTOR
COSTA, BRUCE ANTHONY	DIRECTOR	6348002
FELIX, DARLA MARIE	CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER	5874509
KLEESE, MICHAEL F	DIRECTOR
VINSO, JOSEPH DAVID	DIRECTOR
WILLIAMS, SUSAN ELAINE	PRESIDENT/CEO	2290587

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 35,331,635

Disclosures

Regulatory Event

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.

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Stephen J. Mauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

S.G. LONG & COMPANY

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/1/2013

Series 63

Date: 10/2/1993

Series 7

Date: 4/8/2013

Current Firm

S.G. LONG & COMPANY

Contact information

FINRA licenses (37 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

S.G. LONG & COMPANY

TRUST BUT VERIFY

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