Richard Anthony Maio Sr
Professional Summary
Richard Anthony Maio SR, who also goes by Dick Maio, Richard Anthony Maio, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1964 - 1997. Richard had worked at 5 firms and has passed the PC, Series 1, Series 40 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Maio, Richard Anthony Maio
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
62 years in the financial services industry
Current & Past Employments
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Current Firm
AUERBACH, POLLAK & RICHARDSON INC.
Contact Information
Established
Connecticut since 01/23/1992Firm Type
CorporationFiscal Year End
JuneDocuments
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
7Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed Jan 1964Series 40 — Registered Principal Examination
Passed Feb 1975Series 12 — NYSE Branch Manager Examination
Passed Mar 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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