Mary A. Lazowski
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 Lazowski, who also goes by Mary Anne Kuerti, Mary Anne Kuerti, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1982. Mary had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2016 - September 3, 2024
NEWEDGE SECURITIES, LLC
July 9, 2004 - May 5, 2026
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
July 10, 2003 - July 16, 2003
NORTH STAR INVESTMENT SERVICES, INC.
July 10, 2003 - October 22, 2016
NORTH STAR INVESTMENT SERVICES, INC.
August 28, 2000 - July 7, 2003
GLEACHER & COMPANY SECURITIES, INC.
April 25, 1994 - September 1, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 14, 1992 - April 22, 1994
UBS FINANCIAL SERVICES INC.
September 4, 1990 - November 20, 1992
WELLS FARGO CLEARING SERVICES, LLC
September 2, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
March 7, 1988 - September 27, 1988
INSIGHT SECURITIES, INC.
August 26, 1982 - July 27, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
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 8
Date: 3/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
