Mary Waldron-stevens
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 Waldron-stevens, who also goes by Mary Stevens, Stevens Mary Waldron, Mary Waldronstevens, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1983. Mary had worked at 5 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2013 - June 17, 2014
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
February 28, 2012 - December 31, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
December 5, 1994 - October 30, 2003
MFS FUND DISTRIBUTORS, INC.
December 23, 1986 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
October 22, 1985 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
June 28, 1983 - November 14, 1983
CITISTREET EQUITIES LLC
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
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
