Marilou Marich
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.
Marilou Marich, who also goes by Mary Lou Marich, Marylou Marich, Marilou Mmarich, was a registered financial professional .
Marilou is a previously registered financial professional and started their career in finance in 1983. Marilou had worked at 7 firms and has passed the Series 63, SIE 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
September 24, 2004 - July 19, 2016
NORTH STAR INVESTMENT SERVICES, INC.
August 5, 2000 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 3, 1997 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
March 11, 1993 - December 23, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
April 11, 1991 - February 22, 1993
DAIN RAUSCHER INCORPORATED
November 10, 1989 - October 4, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1983 - November 13, 1989
THOMSON MCKINNON 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
NORTH STAR INVESTMENT SERVICES, INC.
CRD#: 7984 / SEC#: , 8-24260
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTH STAR FINANCIAL SERVICES CORP. | SHAREHOLDER | |
| DUNLEAVY, THOMAS PATRICK | FINANCIAL AND OPERATIONS PRINCIPAL | 6425141 |
| EISENBERG, ANDREW | CHIEF COMPLIANCE OFFICER; AML COMPLIANCE OFFICER; SECRETARY | 6525244 |
| GOODMAN, SHELDON LAWRENCE | PRESIDENT | 225329 |
| GOODMAN, SHELDON LAWRENCE | CHAIRMAN OF THE BOARD OF DIRECTORS | 225329 |
Disclosures
| Regulatory Event | 4 |
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.
