Craig J. Mauermann
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.
Craig James Mauermann was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1993. Craig had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2022 - October 22, 2025
THORNBURG SECURITIES LLC
January 11, 2017 - June 11, 2021
JOHNSON WEALTH INC.
August 1, 2012 - November 9, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
June 8, 2012 - November 14, 2016
BMO ASSET MANAGEMENT CORP.
September 23, 2008 - June 8, 2012
M&I INVESTMENT MANAGEMENT CORP.
August 5, 2005 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
December 20, 1993 - December 31, 2003
STRONG INVESTMENTS, INC.
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 7TO
Date: 6/25/2022
General Securities Representative ExaminationCurrent Firm
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
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.
