Mary Krejci
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 Krejci, who also goes by Mary S Campbell, Mary Stamets Campbell, Mary Campbell Krejci, Mary Stamets Campbell Krejci, Mollie Krejci, Mary C Stamets, Mollie C Stamets, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1993. Mary had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - September 27, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2015 - May 9, 2017
RBC CAPITAL MARKETS, LLC
August 1, 2014 - April 23, 2015
NATIONAL PLANNING CORPORATION
May 5, 2011 - June 18, 2014
RBC CAPITAL MARKETS, LLC
October 28, 2009 - November 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
February 1, 2006 - June 30, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 25, 2003 - March 2, 2005
MORGAN STANLEY DW INC.
November 25, 2003 - March 2, 2005
MORGAN STANLEY DW INC.
August 26, 1999 - November 26, 2003
CITIGROUP GLOBAL MARKETS INC.
August 26, 1999 - November 26, 2003
CITIGROUP GLOBAL MARKETS INC.
September 26, 1995 - August 27, 1999
UBS FINANCIAL SERVICES INC.
January 29, 1995 - September 22, 1995
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 8, 1994
CITIGROUP GLOBAL MARKETS INC.
July 13, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
