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Craig J. Maurer

FTP SECURITIES LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 2762470
CM

Professional summary

Craig Jared Maurer is a registered financial professional currently at FTP SECURITIES LLC located in New York, New York.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1998. Craig has worked at 11 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 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 Jared Maurer'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®
None

Experience

Current

October 19, 2021 - Present

FTP SECURITIES LLC

Office #1: 90 Park Ave 16th Floor, New York, NY 10016
BD
CRD#: 129356
New York, NY
Past

April 1, 2019 - October 29, 2021

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

September 3, 2014 - April 9, 2019

AUTONOMOUS RESEARCH US LP

BD
CRD#: 165290
NEW YORK, NY
Past

March 5, 2013 - September 4, 2014

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

March 12, 2007 - June 6, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

December 13, 2005 - February 23, 2007

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

May 4, 2004 - December 12, 2005

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

May 13, 2003 - April 29, 2004

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
CLEVELAND, OH
Past

May 1, 2003 - June 12, 2003

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN
Past

April 30, 2003 - April 30, 2003

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN
Past

July 20, 2000 - February 20, 2003

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

April 28, 1998 - October 19, 1999

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY

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
California
(10/19/2021)
RR
Connecticut
(10/19/2021)
RR
Florida
(10/19/2021)
RR
Illinois
(10/19/2021)
RR
Massachusetts
(10/19/2021)
RR
New York
(10/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/1998
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 86
Date: 2/15/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 12/27/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 4/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/7/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FTP SECURITIES LLC
FTP SECURITIES LLC

CRD#: 129356 / SEC#: , 8-66218

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

Main Address
100 California Street 7th Floor, San Francisco, CA 94111
Mailing Address
100 California Street 7th Floor, San Francisco, CA 94111
Phone number
(415) 512-8700
Established
Delaware since 06/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FINANCIAL TECHNOLOGY PARTNERS LPSOLE MEMBER
ALLEN, DAN LOWELL JR.GENERAL COUNSEL & CCO7025803
KOIKE, SAORIFINOP5605898
MCLAUGHLIN, STEVEN JOSEPHMANAGING PARTNER AND CEO2649480

Disclosures

Regulatory Event1

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

FTP SECURITIES LLC

CRD#: 129356New York, NY 10016

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