Jerrold G. Mauricio
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.
Jerrold Gonzalez Mauricio, who also goes by Jerry Mauricio, was a registered financial professional .
Jerrold is a previously registered financial professional and started their career in finance in 1999. Jerrold had worked at 6 firms and has passed the SIE, Series 7, Series 24, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2016 - December 14, 2018
CAPITAL ONE INVESTING, LLC
February 6, 2015 - April 15, 2016
BMO INVESTMENT DISTRIBUTORS, LLC
September 17, 2010 - April 8, 2014
BANCWEST INVESTMENT SERVICES, INC.
September 22, 2008 - April 30, 2010
BARCLAYS CAPITAL INC.
September 17, 1999 - September 22, 2008
LEHMAN BROTHERS INC.
April 5, 1999 - September 27, 1999
J.P. MORGAN 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
Current Firm
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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