JM
James G. Mauro
TRUIST SECURITIES
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 6452515
JM
Professional summary
James Guy Mauro, who also goes by James Mauro, is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Mauro
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.
CRS (Client Relationship Summary) - BD
Click below to view James Guy Mauro'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®
NoneExperience
Current
May 30, 2018 - Present
TRUIST SECURITIES, INC.
Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001BD
CRD#: 6271
NEW YORK, NY
Past
July 5, 2017 - May 24, 2018
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
March 16, 2015 - June 15, 2016
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
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(5/30/2018)
RR
Alaska(5/30/2018)
RR
Arizona(5/30/2018)
RR
Arkansas(5/30/2018)
RR
California(5/30/2018)
RR
Colorado(5/30/2018)
RR
Connecticut(5/30/2018)
RR
Delaware(5/30/2018)
RR
District of Columbia(5/30/2018)
RR
Florida(5/30/2018)
RR
Georgia(5/30/2018)
RR
Hawaii(5/30/2018)
RR
Idaho(5/30/2018)
RR
Illinois(5/30/2018)
RR
Indiana(5/30/2018)
RR
Iowa(5/30/2018)
RR
Kansas(5/30/2018)
RR
Kentucky(5/30/2018)
RR
Louisiana(5/30/2018)
RR
Maine(5/30/2018)
RR
Maryland(5/30/2018)
RR
Massachusetts(5/30/2018)
RR
Michigan(5/30/2018)
RR
Minnesota(5/30/2018)
RR
Mississippi(5/30/2018)
RR
Missouri(5/30/2018)
RR
Montana(5/30/2018)
RR
Nebraska(5/30/2018)
RR
Nevada(5/30/2018)
RR
New Hampshire(5/30/2018)
RR
New Jersey(5/30/2018)
RR
New Mexico(5/30/2018)
RR
New York(5/30/2018)
RR
North Carolina(5/30/2018)
RR
North Dakota(5/30/2018)
RR
Ohio(5/31/2018)
RR
Oklahoma(5/30/2018)
RR
Oregon(5/30/2018)
RR
Pennsylvania(5/30/2018)
RR
Puerto Rico(5/30/2018)
RR
Rhode Island(5/30/2018)
RR
South Carolina(5/30/2018)
RR
South Dakota(5/30/2018)
RR
Tennessee(5/30/2018)
RR
Texas(5/30/2018)
RR
Utah(5/30/2018)
RR
Vermont(5/30/2018)
RR
Virginia(5/30/2018)
RR
Washington(5/30/2018)
RR
West Virginia(5/30/2018)
RR
Wisconsin(5/30/2018)
RR
Wyoming(5/30/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 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.
