Mary E. Orourke
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Erin Orourke, who also goes by Erin Orourke, M Erin Orourke, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1982. Mary had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14, Series 12, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2007 - January 29, 2016
DEUTSCHE BANK SECURITIES INC.
June 26, 2007 - January 29, 2016
DEUTSCHE BANK SECURITIES INC.
April 3, 2007 - April 13, 2007
CITIGROUP GLOBAL MARKETS INC.
April 3, 2007 - April 13, 2007
CITIGROUP GLOBAL MARKETS INC.
May 3, 2002 - May 7, 2007
CITICORP INVESTMENT SERVICES
September 18, 2001 - May 7, 2007
CITICORP INVESTMENT SERVICES
January 2, 2001 - August 8, 2001
E*TRADE SECURITIES LLC
March 31, 1998 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
May 4, 1994 - March 2, 1999
BA INVESTMENT SERVICES, INC.
August 10, 1989 - March 29, 1994
U.S. BANCORP INVESTMENTS, INC.
August 18, 1988 - September 28, 1989
FBS BROKERAGE SERVICES, INC.
June 7, 1988 - August 23, 1988
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
March 29, 1988 - June 10, 1988
MARCHE' SECURITIES, INC.
December 21, 1987 - April 4, 1988
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
March 25, 1986 - November 2, 1987
HAYNE, MILLER FINANCIAL, INC.
September 24, 1983 - February 18, 1986
IRI SECURITIES CORPORATION
October 5, 1982 - March 21, 1983
ROSEWOOD FINANCIAL SERVICES, INC.
June 24, 1982 - November 6, 1987
FIRST UNITED SECURITIES CORPORATION
January 26, 1982 - August 3, 1982
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 12
Date: 1/3/1995
NYSE Branch Manager ExaminationCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
