Mary M. Shine
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 Margaret Shine was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1982. Mary had worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 22, Series 55, Series 3, Series 7, Series 27, Series 53, Series 24, Series 26 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 1989 - November 14, 2014
BANKERS & INVESTORS CO.
May 17, 1984 - February 6, 1989
FIRST AFFILIATED SECURITIES, INC.
June 28, 1982 - May 5, 1984
SYMON GROUP, LTD.
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 55
Date: 2/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
BANKERS & INVESTORS CO.
CRD#: 6874 / SEC#: , 8-21215
Contact information
Disclosures
| Regulatory Event | 5 |
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.
