James W. Maurer

NETWORK 1 FINANCIAL SECURITIES

Hauppauge, NY 11788

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CRD#: 4971613

Professional summary

James W Maurer, who also goes by James W. Maurer, is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Hauppauge, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James W. Maurer

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 James W Maurer's CRS (Customer Relationship Summary).

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

May 21, 2019 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: 1600 Expressway Drive South Suite 200, Hauppauge, NY 11788

CRD#: 13577

Hauppauge, NY

Past

November 13, 2015 - June 6, 2019

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

MELVILLE, NY

Past

April 19, 2010 - November 19, 2015

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

MELVILLE, NY

Past

December 22, 2009 - April 21, 2010

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

AMITYVILLE, NY

Past

April 24, 2009 - December 24, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

FARMINGDALE, NY

Past

August 14, 2008 - May 20, 2009

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

July 29, 2008 - August 15, 2008

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

September 5, 2006 - August 1, 2008

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

April 19, 2006 - June 15, 2006

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

Past

February 20, 2006 - April 21, 2006

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

State Registrations and Notice Filings

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

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

Alabama
(3/30/2021)

Alaska
(9/18/2020)

Arizona
(5/21/2019)

California
(5/21/2019)

Colorado
(5/21/2019)

Connecticut
(1/14/2021)

Florida
(5/21/2019)

Georgia
(1/14/2021)

Hawaii
(1/30/2020)

Illinois
(1/28/2021)

Indiana
(1/14/2021)

Iowa
(5/21/2019)

Kansas
(5/24/2022)

Kentucky
(1/14/2021)

Louisiana
(2/5/2020)

Maryland
(8/27/2021)

Massachusetts
(5/21/2019)

Michigan
(6/23/2020)

Minnesota
(5/21/2019)

Mississippi
(5/24/2022)

Nebraska
(2/5/2020)

New Jersey
(5/21/2019)

New York
(5/21/2019)

North Carolina
(2/5/2020)

North Dakota
(2/5/2020)

Ohio
(6/23/2020)

Oklahoma
(11/14/2022)

Pennsylvania
(1/14/2021)

Rhode Island
(8/9/2019)

South Carolina
(6/23/2020)

South Dakota
(2/5/2020)

Texas
(5/21/2019)

Virginia
(5/21/2019)

Washington
(1/14/2021)

West Virginia
(8/27/2021)

Wisconsin
(5/21/2019)

Exams

State Security Law Exam

Series 63

Date: 4/26/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2006

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NETWORK 1 FINANCIAL SECURITIES INC.

ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701

Mailing Address

The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701

Phone number

(732) 758-9001

Established

Texas since 03/15/1983

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)	SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNT	SHAREHOLDER
BRUNO, VINCENT MICHAEL	CHIEF COMPLIANCE OFFICER	1845833
HUNT, WILLIAM RICHARD JR	DIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE	830575
TESTAVERDE, DAMON DOMENIC	VICE PRESIDENT	444453

Disclosures

Regulatory Event	21
Arbitration	4

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James W. Maurer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James W Maurer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAIDLAW & COMPANY (UK) LTD.

ROCKWELL GLOBAL CAPITAL LLC

SUMMIT BROKERAGE SERVICES, INC.

GUNNALLEN FINANCIAL, INC

ANDREW GARRETT INC.

THE CONCORD EQUITY GROUP, LLC

BROOKVILLE CAPITAL PARTNERS

MILESTONE FINANCIAL SERVICES, INC.

EKN FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/2006

SIE

Date: 10/1/2018

Series 7

Date: 2/17/2006

FINRA

Nasdaq Stock Market

Current Firm

NETWORK 1 FINANCIAL SECURITIES INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NETWORK 1 FINANCIAL SECURITIES INC.

TRUST BUT VERIFY

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