Mary E. Rokicki
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 Elizabeth Rokicki, who also goes by Mary Elizabeth Harris, Mary Elizabeth Lambert, Mary Harris Lambert, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1983. Mary had worked at 17 firms and has passed the Series 65, 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
December 8, 2009 - January 25, 2017
TRUIST INVESTMENT SERVICES, INC.
October 30, 2009 - January 25, 2017
TRUIST INVESTMENT SERVICES, INC.
March 28, 2008 - October 28, 2009
COLONIAL ASSET MANAGEMENT INC
March 26, 2008 - October 28, 2009
COLONIAL BROKERAGE, INC.
January 27, 2006 - April 21, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
June 14, 2005 - April 19, 2006
AMSOUTH INVESTMENT SERVICES, INC.
April 23, 2005 - June 3, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1998 - May 4, 2000
IFMG SECURITIES, INC.
April 1, 1998 - April 29, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 27, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
July 28, 1997 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
May 16, 1995 - April 1, 1998
BARNETT INVESTMENTS, INC.
August 23, 1993 - November 1, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 7, 1993 - August 26, 1993
NATIONSSECURITIES
September 12, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 1990 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
August 16, 1990 - August 21, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 26, 1990 - August 14, 1990
BARNETT INVESTMENTS, INC.
February 13, 1990 - May 18, 1990
FIRST UNION BROKERAGE SERVICES, INC.
May 26, 1987 - January 29, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
December 21, 1983 - May 18, 1987
CITIZENS FINANCIAL SECURITIES CORPORATION
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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
