John G. Mauro

ROSENBLATT SECURITIES

New York, NY 10005

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CRD#: 1974848

Professional summary

John Gerard Mauro is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 11 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 25, Series 7, Series 14 and Series 24 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) - BD

Click below to view John Gerard Mauro's CRS (Customer Relationship Summary).

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

February 11, 2008 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall Street 59th Floor, New York, NY 10005

CRD#: 18377

New York, NY

Past

January 2, 2002 - January 31, 2008

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

September 28, 2000 - January 2, 2002

HENDERSON BROTHERS, INC.

CRD#: 2171

NEW YORK, NY

Past

November 2, 1999 - September 1, 2000

PRENTICE SECURITIES, INCORPORATED

CRD#: 22897

HALLANDALE, FL

Past

December 9, 1998 - April 27, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

September 25, 1997 - November 18, 1998

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

March 7, 1997 - September 15, 1997

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

October 14, 1996 - February 19, 1997

STRATEGIC RESOURCE MANAGEMENT, INC.

CRD#: 28974

AURORA, CO

Past

January 30, 1996 - December 13, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

February 27, 1995 - November 9, 1995

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

December 18, 1992 - February 15, 1995

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(2/11/2008)

Massachusetts
(2/11/2008)

New Jersey
(2/11/2008)

New York
(2/11/2008)

Texas
(2/11/2008)

Exams

State Security Law Exam

Series 63

Date: 12/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/9/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 3/9/2000

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 12/15/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 3/21/2009

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2007

General Securities Principal Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

ROSENBLATT SECURITIES INC.

RICHARD A. ROSENBLATT & COMPANY, INC. | ROSENBLATT SECURITIES INC.

CRD#: 18377 / SEC#: , 8-24255

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street 59th Floor, New York, NY 10005

Mailing Address

40 Wall Street 59th Floor, New York, NY 10005

Phone number

(212) 607-3100

Established

New York since 08/29/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GAWRONSKI, JOSEPH CHARLES JR	PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR	2946954
ROSENBLATT, RICHARD ALLAN	CHAIRMAN RETIRED	1557345
FRAIN, JOURDAN BLAKE	COO	5745300
RONEY, CHARLES PATRICK	CHIEF COMPLIANCE OFFICER	1978773

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

John G. Mauro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Gerard Mauro's CRS (Customer Relationship Summary).

Certified licenses

Experience

LABRANCHE FINANCIAL SERVICES, LLC

HENDERSON BROTHERS, INC.

PRENTICE SECURITIES, INCORPORATED

ESSEX NATIONAL SECURITIES, LLC

JOSEPHTHAL & CO., INC.

RICKEL & ASSOCIATES, INC.

STRATEGIC RESOURCE MANAGEMENT, INC.

INVESTORS ASSOCIATES, INC.

CHATFIELD DEAN & CO., INC.

GILFORD SECURITIES INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/1992

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/9/2007

Series 25

Date: 3/9/2000

Series 7

Date: 12/15/1992

Series 14

Date: 3/21/2009

Series 24

Date: 12/12/2007

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

ROSENBLATT SECURITIES INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROSENBLATT SECURITIES INC.

TRUST BUT VERIFY

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