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Mauricio Maldonado

Morgan Stanley

Rockville, MD

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-09-13
MD RA APPROVED 2024-04-29
  • TX RA
    APPROVED
    Since 2024-09-13
  • MD RA
    APPROVED
    Since 2024-04-29

Branch Locations

702 King Farm Boulevard Suite 500, Rockville, MD 20850 • 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
Wells Fargo Bank, Na Washington DC 04/2012 03/2024
Wells Fargo Clearing Services, Llc Washington DC 07/2017 03/2024
Morgan Stanley Rockville MD 04/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-02-10
S63 Uniform Securities Agent State Law Examination 2017-09-08
  • S65 Uniform Investment Adviser Law Examination
    2023-02-10
  • S63 Uniform Securities Agent State Law Examination
    2017-09-08

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NAVY FEDERAL INVESTMENT SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC
UNITED BROKERAGE SERVICES, INC
PROFIT INVESTMENTS
ORTMAN FINANCIAL PLANNING

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JASON SCOTT COHEN
JENNIFER CHRISTINE PASCAL
DANIEL RONIS
Annalise Taylor Haywood
Liam Christopher Sweet

Other Offices

LPL FINANCIAL LLC · ROCKVILLE, MD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROCKVILLE, MD
NAVY FEDERAL INVESTMENT SERVICES, LLC · Rockville, MD
STATE FARM INVESTMENT MANAGEMENT CORP. · N Bethesda, MD
J.P. MORGAN SECURITIES LLC · Rockville, MD
UNITED BROKERAGE SERVICES, INC · ROCKVILLE, MD
PROFIT INVESTMENTS · NORTH BETHESDA, MD
ORTMAN FINANCIAL PLANNING · NORTH BETHESDA, MD

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