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NM

Nicholas O. Mavro

BARINGS SECURITIES LLC
Boston, MA 02210
Some features on this profile are disabled
CRD#: 4878597
NM

Professional summary

Nicholas Othon Mavro, who also goes by Nicholas O Mavro, is a registered financial professional currently at BARINGS SECURITIES LLC located in Boston, Massachusetts.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas O Mavro

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Othon Mavro's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 17, 2025 - Present

BARINGS SECURITIES LLC

Office #1: 10 Fan Pier Blvd, Boston, MA 02210
BD
CRD#: 36929
Boston, MA
Past

July 22, 2020 - February 1, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

January 5, 2016 - March 23, 2020

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Boston, MA
Past

October 3, 2014 - June 17, 2015

BEL AIR SECURITIES LLC

BD
CRD#: 134953
LOS ANGELES, CA
Past

June 20, 2007 - October 5, 2012

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/17/2025)
RR
Alaska
(1/17/2025)
RR
Arizona
(1/17/2025)
RR
Arkansas
(1/17/2025)
RR
California
(1/17/2025)
RR
Colorado
(1/17/2025)
RR
Connecticut
(1/17/2025)
RR
Delaware
(1/17/2025)
RR
District of Columbia
(1/17/2025)
RR
Florida
(1/17/2025)
RR
Georgia
(1/17/2025)
RR
Hawaii
(1/17/2025)
RR
Idaho
(1/17/2025)
RR
Illinois
(1/17/2025)
RR
Indiana
(1/17/2025)
RR
Iowa
(1/17/2025)
RR
Kansas
(1/17/2025)
RR
Kentucky
(1/17/2025)
RR
Louisiana
(1/17/2025)
RR
Maine
(1/17/2025)
RR
Maryland
(1/17/2025)
RR
Massachusetts
(1/17/2025)
RR
Michigan
(1/17/2025)
RR
Minnesota
(1/17/2025)
RR
Mississippi
(1/17/2025)
RR
Missouri
(1/17/2025)
RR
Montana
(1/17/2025)
RR
Nebraska
(1/17/2025)
RR
Nevada
(1/17/2025)
RR
New Hampshire
(1/17/2025)
RR
New Jersey
(1/17/2025)
RR
New Mexico
(1/17/2025)
RR
New York
(1/17/2025)
RR
North Carolina
(1/17/2025)
RR
North Dakota
(1/17/2025)
RR
Ohio
(1/17/2025)
RR
Oklahoma
(1/17/2025)
RR
Oregon
(1/17/2025)
RR
Pennsylvania
(1/17/2025)
RR
Rhode Island
(1/17/2025)
RR
South Carolina
(1/17/2025)
RR
South Dakota
(1/17/2025)
RR
Tennessee
(1/17/2025)
RR
Texas
(1/17/2025)
RR
Utah
(1/17/2025)
RR
Vermont
(1/17/2025)
RR
Virginia
(1/17/2025)
RR
Washington
(1/17/2025)
RR
West Virginia
(1/17/2025)
RR
Wisconsin
(1/17/2025)
RR
Wyoming
(1/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BARINGS LLCDIRECT OWNER106006
DINERMAN, JILL ELYSECLERK AND SECRETARY
FRANCIS, SHELDON MAURICEDIRECTOR
LLOYD, ERIC JAMESPRESIDENT2314965
TAWA, DEREK MICHAELCHIEF COMPLIANCE OFFICER3054098
THOMAS, CHRISTOPHER COLINTREASURER7050594

Red Flags

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.

Company Information

BARINGS SECURITIES LLC

CRD#: 36929Boston, MA 02210

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