Mary A. Wise
Professional summary
Mary Ann Wise was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mary is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Mary had worked at 24 firms, which includes BLACKBOOK CAPITAL LLC, GARDEN STATE SECURITIES INC., WALNUT STREET SECURITIES INC., TOWER SQUARE SECURITIES INC., NEW ENGLAND SECURITIES, MSI FINANCIAL SERVICES INC., A.B. WATLEY DIRECT INC., VDM INSTITUTIONAL BROKERAGE LLC, LL PARTNERS INC., SHIELDS & COMPANY, DOYLE MILES & CO. LLC, COMMONWEALTH ASSOCIATES, VIEWTRADE FINANCIAL, PUGLISI & CO., UBS FINANCIAL SERVICES INC., SANDGRAIN SECURITIES LLC, J. ROBBINS SECURITIES L.L.C, J. ROBBINS SECURITIES INC., COLEMAN & COMPANY SECURITIES INC., LT LAWRENCE & CO. INC., BEECH HILL SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., STRATTON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - February 2, 2016
BLACKBOOK CAPITAL, LLC
November 14, 2014 - July 9, 2015
GARDEN STATE SECURITIES, INC.
November 9, 2011 - January 11, 2013
WALNUT STREET SECURITIES, INC.
November 9, 2011 - January 11, 2013
TOWER SQUARE SECURITIES, INC.
November 9, 2011 - January 11, 2013
NEW ENGLAND SECURITIES
November 9, 2011 - August 15, 2014
MSI FINANCIAL SERVICES, INC.
November 10, 2010 - September 26, 2011
NEW ENGLAND SECURITIES
January 17, 2008 - July 7, 2010
MSI FINANCIAL SERVICES, INC.
September 12, 2007 - January 2, 2008
A.B. WATLEY DIRECT, INC.
July 28, 2006 - September 6, 2007
VDM INSTITUTIONAL BROKERAGE, LLC
February 2, 2006 - November 13, 2007
LL PARTNERS, INC.
November 16, 2005 - February 1, 2006
SHIELDS & COMPANY
April 30, 2002 - December 21, 2007
DOYLE, MILES & CO., LLC
May 4, 2001 - February 22, 2002
COMMONWEALTH ASSOCIATES
October 23, 2000 - May 1, 2001
VIEWTRADE FINANCIAL
June 20, 2000 - October 3, 2000
PUGLISI & CO.
September 18, 1998 - June 23, 2000
UBS FINANCIAL SERVICES INC.
April 6, 1998 - May 18, 1998
SANDGRAIN SECURITIES LLC
September 9, 1997 - April 15, 1998
J. ROBBINS SECURITIES, L.L.C
October 21, 1996 - November 12, 1996
J. ROBBINS SECURITIES, INC.
July 14, 1995 - October 18, 1996
COLEMAN & COMPANY SECURITIES, INC.
August 5, 1994 - August 30, 1994
LT LAWRENCE & CO., INC.
March 18, 1992 - June 28, 1994
BEECH HILL SECURITIES, INC.
March 30, 1990 - June 26, 1991
CITIGROUP GLOBAL MARKETS INC.
April 4, 1988 - September 23, 1989
LEHMAN BROTHERS INC.
December 4, 1987 - April 14, 1988
STRATTON 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
BLACKBOOK CAPITAL, LLC
CRD#: 123234 / SEC#: , 8-65577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
Red Flags
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