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Amanda J Mauer

Morgan Stanley

Santa Rosa, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-02-08
TX RA APPROVED_RES 2011-02-24
  • CA RA
    APPROVED
    Since 2016-02-08
  • TX RA
    APPROVED_RES
    Since 2011-02-24

Branch Locations

3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Santa Rosa CA 10/2003 Present
Morgan Stanley Smith Barney Santa Rosa CA 06/2009 Present
  • 10/2003 → Present
    Citigroup Global Markets Inc.
    Santa Rosa, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Santa Rosa, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-02-05
S63 Uniform Securities Agent State Law Examination 2003-05-21
  • S65 Uniform Investment Adviser Law Examination
    2016-02-05
  • S63 Uniform Securities Agent State Law Examination
    2003-05-21
Other Names
  • Amanda Jane Novak
  • Amanda J Novak
  • Amanda J Vaughn

View on SEC IAPD

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JAMES BERNARD BERTERO
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STEPHEN LORAN SMITH
JENNIFER LEE KNAPP
MATTHEW JOSEPH VEAL
MATTHEW MARK DAVIS
JEFFREY DONALD OLE GOSPE
PAMELA LYNN KEZER

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Santa Rosa, CA
CALDWELL SUTTER CAPITAL, INC. · Santa Rosa, CA
WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA
WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA
EDWARD JONES · SANTA ROSA, CA
FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA
FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA
LPL FINANCIAL LLC · SANTA ROSA, CA

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