Mary C. Matthews
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 Contessa Matthews, who also goes by Mary Katherine Contessa, Mary C. Matthews, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - August 3, 2018
CUNA BROKERAGE SERVICES, INC.
February 26, 2018 - August 3, 2018
CUNA BROKERAGE SERVICES, INC.
July 3, 2014 - March 28, 2016
EQUITY SERVICES, INC.
July 3, 2014 - March 28, 2016
EQUITY SERVICES, INC.
December 7, 2010 - July 18, 2013
MSI FINANCIAL SERVICES, INC.
October 19, 2009 - February 26, 2010
MSI FINANCIAL SERVICES, INC.
September 16, 2009 - July 18, 2013
MSI FINANCIAL SERVICES, INC.
February 1, 2005 - September 14, 2009
MML INVESTORS SERVICES, LLC
December 19, 1990 - September 14, 2009
MML INVESTORS SERVICES, LLC
January 17, 1984 - July 3, 1990
TOWER SQUARE SECURITIES, 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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
