Todd P. Mauro
Professional summary
Todd Patrick Mauro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Todd had worked at 3 firms, which includes DAVID LERNER ASSOCIATES INC., PRIME CAPITAL SERVICES INC., BGC FINANCIAL L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2009 - December 9, 2009
DAVID LERNER ASSOCIATES, INC.
October 30, 1998 - February 25, 2009
PRIME CAPITAL SERVICES, INC.
December 16, 1997 - June 16, 1998
BGC FINANCIAL, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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