Maurice C. Wilde
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.
Maurice C Wilde, who also goes by Maurice Christopher Wilde, was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1996. Maurice had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2017 - October 17, 2017
NFSG CORPORATION
March 29, 2017 - October 17, 2017
NEWBRIDGE SECURITIES CORPORATION
March 8, 2017 - March 29, 2017
SB ADVISORY, LLC
January 19, 2017 - March 17, 2017
IFS SECURITIES
March 25, 2016 - December 31, 2016
GROVE POINT INVESTMENTS, LLC
March 24, 2016 - December 31, 2016
GROVE POINT INVESTMENTS, LLC
June 15, 2015 - March 25, 2016
MSI FINANCIAL SERVICES, INC.
June 12, 2015 - March 25, 2016
MSI FINANCIAL SERVICES, INC.
April 9, 2013 - June 18, 2015
CETERA ADVISORS LLC
April 5, 2013 - June 18, 2015
CETERA ADVISORS LLC
June 26, 2012 - April 24, 2013
OPPENHEIMER & CO. INC.
June 15, 2012 - April 24, 2013
OPPENHEIMER & CO. INC.
September 14, 2011 - June 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2011 - June 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2011 - July 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 8, 1996 - April 7, 1997
MORGAN STANLEY DW INC.
January 31, 1996 - February 9, 1996
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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