Robert S. Maurer
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.
Robert Scott Maurer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2015 - December 31, 2018
VISION BROKERAGE SERVICES, LLC
February 23, 2010 - January 5, 2015
REGAL SECURITIES, INC.
May 19, 2003 - July 2, 2008
TERRA NOVA FINANCIAL, LLC
June 10, 2002 - April 7, 2003
PEREGRINE FINANCIALS & SECURITIES, INC.
February 20, 2002 - April 24, 2002
PEREGRINE FINANCIALS & SECURITIES, 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
Current Firm
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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