Mary K. Mosher
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 Kathleen Mosher, CFP® was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 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 11, 2015 - February 2, 2016
SANTANDER SECURITIES LLC
December 7, 2009 - May 24, 2010
TD WEALTH MANAGEMENT SERVICES INC.
February 26, 2008 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
February 20, 2008 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
November 6, 2007 - February 25, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 21, 2006 - May 4, 2007
A. G. EDWARDS & SONS, INC.
November 26, 2004 - February 22, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 30, 2003 - February 22, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 10, 1989 - November 27, 2001
AMUNDI DISTRIBUTOR US, INC.
August 5, 1987 - May 10, 1989
THE PIONEER GROUP, INC.
August 8, 1984 - May 10, 1989
THE PIONEER GROUP, INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
