Juan Carlos Mauras
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.
Juan Carlos Mauras was a registered financial professional .
Juan Carlos is a previously registered financial professional and started their career in finance in 2011. Juan Carlos had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2013 - October 26, 2017
KEPLER CAPITAL MARKETS, INC.
January 22, 2013 - July 23, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
November 15, 2011 - June 19, 2012
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
April 12, 2011 - August 18, 2011
AVATAR SECURITIES, 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 55
Date: 3/29/2013
Limited Representative-Equity Trader ExamCurrent Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
