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Detailed Report
BRAD MICHAEL MAURER
BRAD M MAURER
CRD#: 2737876
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 2400 EAST KATELLA
SUITE 910
ANAHEIM, CA 92806
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2007 (3 years)2 FIRMS2013 - 2014 (1 year)2 FIRMS2015 - 2017 (2 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2017 - Present (7 years)BGRANT WILLIAMS L.P. (CRD# 45961)2010 - 2012 (2 years)BGRANT WILLIAMS L.P. (CRD# 45961)2008 - 2009 (1 year)BPERSHING LLC (CRD# 7560)2003 - 2004 (<1 year)BLOCKWOOD FINANCIAL SERVICES, INC. (CRD# 40655)2001 - 2003 (2 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2001 (<1 year)BPNC BROKERAGE CORP (CRD# 34671)1997 - 2000 (3 years)BMIMLIC SALES CORPORATION (CRD# 15296)1996 - 1997 (1 year)IALOCKWOOD ADVISORS INC (CRD# 106108)2002 - 2004 (1 year)
License(s)

State Registrations

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California 12/1/2017
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Texas 3/18/2021
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
2400 EAST KATELLA SUITE 910, ANAHEIM, CA 92806
Registered with this firm since 12/1/2017
Previous Registration(s)
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 08/03/2015 - 12/06/2017 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) HUNTINGTON BEACH, CA
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 07/01/2015 - 12/06/2017 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) HUNTINGTON BEACH, CA
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 08/13/2013 - 12/02/2014 GRANT WILLIAMS L.P. (CRD#:45961) PHILADELPHIA, PA
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 08/13/2013 - 11/12/2014 GRANT WILLIAMS L.P. (CRD#:45961) PHILADEPHIA, PA
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 05/17/2010 - 08/08/2012 GRANT WILLIAMS L.P. (CRD#:45961) PHILADELPHIA, PA
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 03/14/2008 - 05/21/2009 GRANT WILLIAMS L.P. (CRD#:45961) PHILADELPHIA, PA
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 05/18/2004 - 12/12/2007 BRINKER CAPITAL INC (CRD#:111743) KING OF PRUSSIA, PA
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 05/18/2004 - 12/12/2007 BRINKER CAPITAL SECURITIES, INC. (CRD#:38123) BERWYN, PA
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 09/13/2002 - 05/12/2004 LOCKWOOD ADVISORS INC (CRD#:106108) MALVERN, PA
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 12/15/2003 - 05/12/2004 PERSHING LLC (CRD#:7560) JERSEY CITY, NJ
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 05/04/2001 - 12/15/2003 LOCKWOOD FINANCIAL SERVICES, INC. (CRD#:40655) MALVERN, PA
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 10/11/2000 - 04/27/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
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 07/14/1997 - 09/15/2000 PNC BROKERAGE CORP (CRD#:34671) PITTSBURGH, PA
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 04/30/1996 - 08/12/1997 MIMLIC SALES CORPORATION (CRD#:15296) ST. PAUL, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.