Mary Ann C. Cullen
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 Ann Catherine Cullen, who also goes by M C Cullen, Mary Ann Catherine Cullen, was a registered financial professional .
Mary Ann is a previously registered financial professional and started their career in finance in 1982. Mary Ann had worked at 5 firms and has passed the Series 63, SIE, Series 7 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
April 7, 2010 - April 22, 2016
SANDERS MORRIS LLC
November 24, 2009 - April 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 16, 1982 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 1982 - November 23, 1982
SUCCESS SECURITIES INC.
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
PC
Date: 5/1/1977
AMEX Put and Call ExamCurrent Firm
RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923 / SEC#: , 8-69640
Contact information
FINRA licenses (53 States and Territories)
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.
