Maris A. Ogg
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.
Maris Ann Ogg, who also goes by Maris Ann Falken, was a registered financial professional .
Maris is a previously registered financial professional and started their career in finance in 1983. Maris had worked at 6 firms and has passed the Series 65, Series 63, Series 16, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2002 - March 15, 2024
TOWER BRIDGE ADVISORS
November 2, 1999 - October 11, 2001
BOENNING & SCATTERGOOD, INC.
August 5, 1992 - September 21, 1999
CUSTODIAN SECURITIES, INC.
November 6, 1989 - August 20, 1992
INVESTEC INC.
May 8, 1986 - October 13, 1989
W.H. NEWBOLD'S SON & CO., INC.
October 17, 1983 - December 14, 1983
BARTLETT & CO.
Primary Firm SEC Registration
TOWER BRIDGE ADVISORS
CRD#: 115700 / SEC#: 801-60640
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 5
Date: 9/1/1983
Interest Rate Options ExaminationCurrent Firm
TOWER BRIDGE ADVISORS
CRD#: 115700 / SEC#: 801-60640
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 794 |
| AUM (Assets Under Management) | $ 1,317,334,651 |
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.
