Clyde A. Mauger
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.
Clyde Alvin Mauger, CFP®, who also goes by Bud Mauger, Clyde A Mauger IV, Clyde A Mauger, Clyde Alvin Mauger Iv, was a registered financial professional .
Clyde is a previously registered financial professional and started their career in finance in 1996. Clyde had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
February 10, 2023 - June 30, 2023
NDVR
August 20, 2021 - October 21, 2022
CITIZENS PRIVATE WEALTH
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 1, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
September 1, 2015 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
January 16, 2015 - November 5, 2015
HORAN CAPITAL MANAGEMENT,LLC
January 3, 2003 - November 28, 2011
STRATEGIC ADVISERS LLC
October 25, 2002 - November 28, 2011
FIDELITY BROKERAGE SERVICES LLC
July 14, 1999 - October 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 1998 - July 29, 1999
LPL FINANCIAL LLC
August 20, 1996 - September 17, 1998
PRUCO SECURITIES, LLC.
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
What does exam status mean?
Series 6
Passed: 8/14/1996
Series 10
Passed: 2/2/2004
Series 9
Passed: 12/29/2003
Current Firm
NDVR
CRD#: 310602 / SEC#: 801-120289
Contact information
Regulatory assets under management
| Total Number of Accounts | 345 |
| AUM (Assets Under Management) | $ 203,828,690 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 12/19/2025 | ||
| 09/27/2024 | ||
| 08/23/2023 |
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.
