Anthony J. Mauri
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.
Anthony Joseph Mauri was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2006. Anthony had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2018 - October 16, 2019
MAXIM GROUP LLC
February 7, 2012 - September 17, 2018
WILMINGTON CAPITAL SECURITIES, LLC
September 26, 2011 - February 23, 2012
LADENBURG THALMANN & CO. INC.
June 22, 2010 - October 3, 2011
ROCKWELL GLOBAL CAPITAL LLC
April 26, 2010 - June 23, 2010
FIRST MIDWEST SECURITIES, INC.
May 30, 2007 - May 12, 2010
AMERICAN CAPITAL PARTNERS, LLC
November 28, 2006 - June 12, 2007
MAX INTERNATIONAL BROKER/DEALER CORP.
September 4, 2006 - December 18, 2006
AMERICAN CAPITAL PARTNERS, 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
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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