Richard A. Maio
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.
Richard Anthony Maio SR, who also goes by Dick Maio, Richard Anthony Maio, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1964. Richard had worked at 5 firms and has passed the PC, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1997 - August 7, 1997
AUERBACH, POLLAK & RICHARDSON INC.
February 19, 1991 - December 15, 1995
D. H. BLAIR & CO., INC.
April 4, 1989 - April 27, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
March 29, 1983 - April 27, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 28, 1964 - April 18, 1983
E. F. HUTTON & COMPANY 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 1/24/1964
Registered Representative ExaminationSeries 40
Date: 2/20/1975
Registered Principal ExaminationSeries 12
Date: 3/24/1969
NYSE Branch Manager ExaminationCurrent Firm
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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