Mary Anne Lepore
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 Anne Lepore, who also goes by Mary Anne Lepore, Maryanne Lepore, was a registered financial professional .
Mary Anne is a previously registered financial professional and started their career in finance in 1982. Mary Anne had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 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
September 22, 2017 - December 31, 2019
CETERA INVESTMENT ADVISERS LLC
September 22, 2017 - December 31, 2019
CETERA INVESTMENT SERVICES LLC
March 28, 2016 - September 26, 2017
CITIZENS SECURITIES, INC.
March 28, 2016 - September 26, 2017
CITIZENS SECURITIES, INC.
July 28, 2009 - March 30, 2016
M&T SECURITIES, INC.
July 27, 2009 - March 30, 2016
M&T SECURITIES, INC.
March 8, 2006 - July 10, 2009
CITIZENS SECURITIES, INC.
February 21, 2006 - July 10, 2009
CITIZENS SECURITIES, INC.
February 10, 2006 - February 21, 2006
INVEST FINANCIAL CORPORATION
November 11, 2004 - February 21, 2006
INVEST FINANCIAL CORPORATION
July 29, 2004 - November 15, 2004
SECURITIES AMERICA ADVISORS, INC.
June 4, 2004 - November 12, 2004
SECURITIES AMERICA, INC.
May 2, 2003 - January 13, 2004
CITIZENS SECURITIES, INC.
May 8, 2002 - January 13, 2004
CITIZENS SECURITIES, INC.
April 25, 1997 - December 31, 2000
MBSC, LLC
September 13, 1996 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
May 10, 1995 - May 16, 1995
PFS INVESTMENTS INC.
May 3, 1995 - August 29, 1996
CADARET, GRANT & CO., INC.
March 31, 1994 - March 17, 1995
ALLSTATE FINANCIAL SERVICES, LLC
March 5, 1993 - March 31, 1994
KEYSTONE BROKERAGE, LLC
January 4, 1991 - December 4, 1992
KIDDER, PEABODY & CO. INCORPORATED
July 17, 1990 - December 24, 1990
UNITED PACIFIC FINANCIAL SERVICES, INC.
November 3, 1987 - July 20, 1990
INVEST FINANCIAL CORPORATION
August 2, 1986 - November 4, 1987
LEHMAN BROTHERS INC.
November 24, 1982 - June 28, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
