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Craig S. Mauri

PINE DISTRIBUTORS LLC
CHICAGO, IL 60602
Some features on this profile are disabled
CRD#: 2485761
CM

Professional summary

Craig Scott Mauri, CFA is a registered financial professional currently at PINE DISTRIBUTORS LLC located in Chicago, Illinois.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1995. Craig has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Craig Scott Mauri'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®
CFA

Chartered Financial Analyst

Experience

Current

March 4, 2025 - Present

PINE DISTRIBUTORS LLC

Office #1: 24 E Washington St Ste 875, Chicago, IL 60602
BD
CRD#: 323408
CHICAGO, IL
Past

March 11, 2021 - February 28, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Chicago, IL
Past

May 11, 2017 - November 19, 2019

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Chicago, IL
Past

April 22, 2016 - March 9, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Evanston, IL
Past

October 19, 2005 - March 21, 2016

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
NAPERVILLE, IL
Past

October 19, 2005 - March 21, 2016

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

August 20, 2005 - September 22, 2005

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

June 14, 2005 - August 20, 2005

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

September 8, 2004 - June 14, 2005

COLUMBIA FINANCIAL CENTER INCORPORATED

BD
CRD#: 23562
PORTLAND, OR
Past

March 10, 2004 - September 9, 2004

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

March 1, 1995 - March 19, 2003

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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
Alaska
(3/4/2025)
RR
Arizona
(3/4/2025)
RR
California
(3/4/2025)
RR
Colorado
(3/4/2025)
RR
District of Columbia
(3/4/2025)
RR
Hawaii
(3/4/2025)
RR
Idaho
(3/4/2025)
RR
Illinois
(3/4/2025)
RR
Indiana
(3/4/2025)
RR
Iowa
(3/4/2025)
RR
Kansas
(3/4/2025)
RR
Louisiana
(3/4/2025)
RR
Massachusetts
(3/4/2025)
RR
Michigan
(3/4/2025)
RR
Minnesota
(3/4/2025)
RR
Missouri
(3/4/2025)
RR
Montana
(3/4/2025)
RR
Nebraska
(3/4/2025)
RR
Nevada
(3/4/2025)
RR
New Jersey
(3/4/2025)
RR
New Mexico
(3/4/2025)
RR
New York
(3/4/2025)
RR
North Dakota
(3/4/2025)
RR
Ohio
(3/4/2025)
RR
Oklahoma
(3/4/2025)
RR
Oregon
(3/4/2025)
RR
Pennsylvania
(3/4/2025)
RR
South Dakota
(3/4/2025)
RR
Tennessee
(3/4/2025)
RR
Texas
(3/4/2025)
RR
Utah
(3/4/2025)
RR
Virginia
(3/4/2025)
RR
Washington
(3/4/2025)
RR
Wisconsin
(3/4/2025)
RR
Wyoming
(3/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/30/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/28/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PINE DISTRIBUTORS LLC
PINE DISTRIBUTORS LLC

CRD#: 323408 / SEC#: , 8-71004

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

Main Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Mailing Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Phone number
(720) 651-8092
Established
Delaware since 08/30/2022
Firm type
Limited Liability Company
Fiscal year end
December
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#
PINE ADVISOR SOLUTIONS LLCMEMBER
FAIRBANKS, MARK ALANPRESIDENT1847318
LEVESQUE, DARYNCOO6482085
MOSCARITOLO, SUSAN KALLAICCO2618909
WAGSTAFF, CONNER FRED IIIFINOP1427591
WOODCOCK, ALEXANDER JAMESPFO6454017

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

PINE DISTRIBUTORS LLC

CRD#: 323408Chicago, IL 60602

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