Individual Firm
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JAMES PATRICK MAUS
CRD#: 1826412
IA
B
MORGAN STANLEYCRD#: 149777 350 East Las Olas Boulevard
Suite 1500
Fort Lauderdale, FL 33301
Suite 1500
Fort Lauderdale, FL 33301
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Disclosures
32
Years of Experience
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State Registrations
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Alabama 3/4/2022
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Montana 11/23/2022
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Arizona 6/1/2009
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Nebraska 9/29/2011
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California 6/1/2009
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Nevada 6/1/2009
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Colorado 6/1/2009
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New Hampshire 5/9/2016
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Connecticut 6/1/2009
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New Jersey 6/1/2009
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Delaware 6/1/2009
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New York 6/1/2009
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District of Columbia 6/10/2022
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North Carolina 6/1/2009
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Florida 6/1/2009
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Ohio 6/1/2009
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Florida 6/1/2009
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Oklahoma 6/1/2009
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Georgia 6/1/2009
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Oklahoma 6/1/2009
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Hawaii 3/7/2022
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Oregon 6/1/2009
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Idaho 5/16/2024
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Pennsylvania 6/1/2009
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Illinois 6/1/2009
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Puerto Rico 6/10/2024
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Indiana 6/1/2009
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Rhode Island 11/23/2022
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Kansas 3/15/2024
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South Carolina 1/14/2010
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Kentucky 4/30/2012
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Tennessee 8/29/2023
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Louisiana 6/1/2009
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Texas 6/1/2009
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Maine 1/16/2015
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Texas 6/1/2009
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Maryland 6/1/2009
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Utah 2/16/2021
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Massachusetts 6/1/2009
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Vermont 3/15/2024
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Michigan 6/1/2009
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Virginia 6/1/2009
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Minnesota 6/1/2009
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Washington 6/1/2009
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Mississippi 6/1/2009
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West Virginia 1/14/2010
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Missouri 6/1/2009
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Wisconsin 1/27/2010
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | FT. LAUDERDALE, FL | |
B | 04/02/2007 - 06/01/2009 | FT. LAUDERDALE, FL | |
IA | 08/03/2004 - 04/02/2007 | FT. LAUDERDALE, FL | |
B | 07/23/2004 - 04/02/2007 | FT. LAUDERDALE, FL | |
IA | 02/01/1993 - 08/06/2004 | FT. LAUDERDALE, FL | |
B | 01/26/1993 - 08/06/2004 | MEMPHIS, TN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.