Marylois Utzig
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.
Marylois Utzig, who also goes by Lois Quigley, Mary Lois Quigley, Lois Utzig, Mary Lois Quigley Utzig, was a registered financial professional .
Marylois is a previously registered financial professional and started their career in finance in 1983. Marylois had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2013 - January 16, 2014
HEFREN-TILLOTSON, INC.
April 9, 2012 - May 15, 2012
HEFREN-TILLOTSON, INC.
July 28, 1998 - November 14, 2011
HEFREN-TILLOTSON, INC.
July 8, 1992 - June 23, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 1990 - July 31, 1992
UBS FINANCIAL SERVICES INC.
February 11, 1985 - December 10, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1983 - March 14, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
HEFREN-TILLOTSON, INC.
CRD#: 53 / SEC#: 801-55083, 8-10646
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASTERPLAN, INC. | OWNER OF HEFREN TILLOTSON | |
| BELT, DONALD MCGHEE | PRESIDENT | 2252406 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| FLEMING, KIMBERLY TILLOTSON | DIRECTOR | 871264 |
| MEREDITH, JAMES GERARD | EXECUTIVE VICE PRESIDENT | 853602 |
| NIESSLEIN, JOSEPH M | CFO / TREASURER | 3057789 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| TADDEO, PAUL EDWARD | CHIEF COMPLIANCE OFFICER | 1259114 |
| TILLOTSON, CRAIG ARTHUR | VICE CHAIRMAN | 1296742 |
Regulatory assets under management
| Total Number of Accounts | 30,861 |
| AUM (Assets Under Management) | $ 12,430,043,340 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
