Mary Beth Mckenna
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 Beth Mckenna, who also goes by Marybeth Mckenna, Mary Beth Silvia, Mary Beth Silvia, Marybeth Silvia, was a registered financial professional .
Mary Beth is a previously registered financial professional and started their career in finance in 1982. Mary Beth had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 8, Series 27, Series 24 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
February 12, 2008 - June 18, 2012
SCOTTRADE, INC.
December 13, 2007 - February 11, 2008
OSAIC SERVICES, INC.
April 4, 2003 - December 19, 2005
CITIZENS SECURITIES, INC.
June 28, 2002 - December 19, 2005
CITIZENS SECURITIES, INC.
February 14, 1998 - June 7, 2002
QUICK & REILLY, INC.
January 24, 1996 - February 8, 1996
SHAWMUT BROKERAGE, INC.
May 5, 1988 - March 4, 1992
FLEET CLEARING CORPORATION
April 18, 1988 - February 14, 1998
FLEET BROKERAGE SECURITIES, INC.
August 28, 1986 - April 18, 1988
FLEET BROKERAGE SERVICES, INC.
November 24, 1982 - June 16, 1983
LEHMAN BROTHERS 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
Series 8
Date: 10/30/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
