Maurice J. Kauff

NORTHERN CAPITAL SECURITIES

Bourne, MA

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CRD#: 2198293

Professional summary

Maurice Jason Kauff, who also goes by Maury Kauff, Mo Kauff, is a registered financial advisor currently at NORTHERN CAPITAL SECURITIES CORPORATION located in Bourne, Massachusetts.

Maurice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Maurice has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maury Kauff | Mo Kauff

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.

Merrimack College, non-investment related, 315 Turnpike St, North Andover, MA 01845, higher learning, Adjunct Instructor, start date: October 14, 2024, 12 hours per month during securities trading hours, duties are to teach graduate class in Finance. Hult International Business School, non-investment related, 1 Education Street, Cambridge, MA 02141, higher learning, Adjunct Instructor, start date: May 1, 2024, 12 hours per month during securities trading hours, duties are to teach graduate class in Finance. St. John's Lodge, Newburyport, investment-related, 31 Green St, Newburyport, MA 01950, fraternal organization, Trustee of the Permanent Fund, start date: June 2, 2022, 1 to 2 hours per month during securities trading hours, duties are to provide oversight, administration, and investment of organization's Permanent Fund.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maurice Jason Kauff's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Maurice Jason Kauff'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

April 24, 2017 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

RIA

CRD#: 40659

Bourne, MA

Current

January 20, 2009 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 50 High Street 4th Floor, North Andover, MA 01845

RIA

CRD#: 40659

North Andover, MA

Past

May 20, 2008 - February 12, 2009

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

May 10, 2004 - May 19, 2008

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

December 6, 2000 - May 6, 2004

NORTHERN CAPITAL SECURITIES CORPORATION

CRD#: 40659

NORTH ANDOVER, MA

Past

July 11, 1997 - November 29, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 10, 1997 - July 22, 1997

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arkansas
(1/2/2018)

Colorado
(1/2/2018)

Massachusetts
(1/20/2009)

IAR

Massachusetts
(4/24/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/8/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/7/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/3/2006

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NORTHERN CAPITAL SECURITIES CORPORATION

NORTHERN CAPITAL SECURITIES CORPORATION | SCOTT, STARR SECURITIES, INC.

CRD#: 40659 / SEC#: , 8-49130

Massachusetts

Registered Investment Advisory firm - SEC (2/6/2017 Approved)

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

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Contact information

Main Address

50 High Street 4th Floor, North Andover, MA 01845

Mailing Address

50 High Street 4th Floor, North Andover, MA 01845

Phone number

(978) 289-1000

Established

Massachusetts since 02/16/1996

Firm type

Corporation

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
OLDAKER, DAVID GRANT	CHIEF EXECUTIVE OFFICER	2606043
OLDAKER, DAVID GRANT	CHIEF COMPLIANCE OFFICER	2606043
RYE, STEPHEN GILBERT	PRESIDENT	2127156

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Maurice J. Kauff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maurice Jason Kauff's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Maurice Jason Kauff's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN CAPITAL SECURITIES CORPORATION

MAXIM GROUP LLC

INVESTORS CAPITAL CORP.

NORTHERN CAPITAL SECURITIES CORPORATION

A. G. EDWARDS & SONS, INC.

JOSEPHTHAL & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2017

Series 63

Date: 4/28/1997

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 3

Date: 3/8/2004

Series 7

Date: 3/7/1997

Series 24

Date: 8/23/2017

Series 53

Date: 11/3/2006

FINRA

Current Firm

NORTHERN CAPITAL SECURITIES CORPORATION

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NORTHERN CAPITAL SECURITIES CORPORATION

TRUST BUT VERIFY

Contact information

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