Maura A. Brody
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.
Maura Anne Brody, who also goes by Maura Anne Autera, Maura Anne Autera Brody, Maura Anne Brody, was a registered financial professional .
Maura is a previously registered financial professional and started their career in finance in 2001. Maura had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 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
December 11, 2015 - October 31, 2016
FIRST STANDARD FINANCIAL COMPANY LLC
May 29, 2003 - August 11, 2014
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
May 29, 2001 - May 12, 2003
TRADESTATION 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
Series 55
Date: 8/30/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
