Articles Tagged with Paul Mauro

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Paul MauroPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that Massachusetts-based Sagepoint Financial broker/adviser Paul Mauro was recently sanctioned by state authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mauro (CRD# 824304).

Paul Mauro has spent 41 years in the securities industry and has been registered with Sagepoint Financial in Westborough, Massachusetts since November 2017. Previous registrations include SII Investments in Westborough, Massachusetts (2007-2017); Legacy Financial Services in Milford, Massachusetts (1999-2007); InterSecurities in St. Petersburg, Florida (1995-1999); PML Securities in Newark, Delaware (1991-1995); RG Dickinson & Company in Des Moines, Iowa (1990-1991); JT Moran & Company (1988-1990); Buttonwood Securities Corporation of Massachusetts (1987-1988); John Hancock Mutual Life Insurance Company (1976-1987); and John Hancock Distributors (1976-1987). he has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 21, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 29, 1988; and Series 1 (Registered Representative Examination), which he obtained on June 26, 1976. He is a registered broker and investment adviser with 26 US states and territories.

According to his BrokerCheck report, he has received three customer complaints and two regulatory sanctions.