Maureen A. Smaldone
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.
Maureen Ann Smaldone, who also goes by Maureen Ann Kenniff, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 2003. Maureen had worked at 5 firms and has passed the Series 14A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2014 - May 16, 2016
BARCLAYS CAPITAL INC.
August 2, 2010 - October 15, 2014
BRENDAN E. CRYAN AND COMPANY, L.L.C.
February 12, 2008 - July 19, 2010
COHEN CAPITAL GROUP, LLC
June 8, 2007 - February 29, 2008
BEAR WAGNER SPECIALISTS LLC
September 26, 2003 - February 27, 2008
HBH SPECIALISTS 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
Series 14A
Date: 2/23/2012
Compliance Official Specialist ExamCurrent Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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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