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Tiffani Romaine Mauldin

CRD# 4448782·Registered 2004 - 2015
Previously Registered: Being a previously registered professional could mean that Tiffani 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.

Professional Summary

Tiffani Romaine Mauldin, who also goes by Tiffani R Boswell, Tiffani R. Boswell, Tiffani Frederick, Tiffani Mauldin-frederick, was a registered financial advisor. Tiffani was a previously registered financial professional and started their career in finance 2004 - 2015. Tiffani had worked at 1 firm and has passed the Series 66 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Tiffani R Boswell, Tiffani R. Boswell, Tiffani Frederick, Tiffani Mauldin-Frederick

Blog Corner

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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

26 years in the financial services industry

Current & Past Employments

MAULDIN SECURITIES, LLC·CRD# 128378
BD
Dallas, TX
February 9, 2004 - November 24, 2015

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Current Firm

MS
MAULDIN SECURITIES, LLC

MAULDIN SECURITIES, LLC | MILLENNIUM WAVE SECURITIES, LLC | MILLENNIUM WAVE INVESTMENTS

CRD#: 128378 / SEC#: 8-66127
BD
Terminated by SEC on 12/03/2022

Contact Information

Established

Texas since 09/08/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
MAULDIN, JOHN FRANCISPRESIDENT, CCO1945566
EWTON, VALYNDA ANNFINOP203464

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2000About the Series 66 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2003About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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