WM
ChFC
WM
ChFC
William Mauro
44 Years of Experience
Montoursville, PA
1 DisclosureBrokerSells Insurance
William Mauro is a ChFC-designated registered investment advisor, based in Montoursville, PA, with 44 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold.
Location
252 Broad Street, Montoursville, PA, 17754
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2021Settled
Other Business ActivitiesSells Insurance
William is an advisory representative of a Registered Investment Advisor (RIA) and spends about 10-20% of his time on investment-related activities. He is also an independent insurance agent for various independent insurance companies, dedicating minimal time to this activity.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2017 - Present · 8 yrs 11 mos
Cambridge Investment Research, INC.Broker
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
Voya Financial Advisors, INC.
May 2006 - November 2017 · 11 yrs 6 mos
Voya Financial Advisors, INC.Broker
May 2006 - November 2017 · 11 yrs 6 mos
Hornor, Townsend & Kent, INC.
March 2004 - May 2006 · 2 yrs 2 mos
Hornor, Townsend & Kent, INC.Broker
June 1999 - May 2006 · 6 yrs 11 mos
Locust Street Securities, INC.Broker
May 1989 - June 1999 · 10 yrs 1 mo
Reliastar Financial Marketing CORP.Broker
June 1982 - April 1989 · 6 yrs 10 mos
State Registrations13 states
CACOFLMAMDMENCNYPASCTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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