Andrew J. Maurer
Professional summary
Andrew John Maurer is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Minneapolis, Minnesota.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 5 firms and has passed the SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew John Maurer's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2016 - Present
NUVEEN SECURITIES, LLC
Office #1: 901 Marquette Avenue Suite 2900, Minneapolis, MN 55402May 18, 2016 - September 13, 2016
U.S. BANCORP INVESTMENTS, INC.
January 2, 2015 - December 31, 2015
ALPS DISTRIBUTORS, INC.
August 9, 2011 - November 26, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
April 27, 2007 - July 15, 2011
RBC CAPITAL MARKETS, 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
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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