Mary L. Redell
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 Louise Redell was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2011 - September 15, 2014
AMHERST SECURITIES GROUP, L.P.
April 29, 2009 - January 21, 2010
UNITED EQUITY SECURITIES, LLC
April 20, 1998 - March 30, 2009
STANFORD GROUP COMPANY
July 31, 1993 - April 24, 1998
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
December 18, 1984 - May 14, 1988
E. F. HUTTON & COMPANY 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
Series 8
Date: 7/8/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMHERST SECURITIES GROUP, L.P.
CRD#: 31141 / SEC#: , 8-45364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMHERST ASG HOLDINGS LLC | HOLDING COMPANY | |
| ASG GENERAL PARTNER, INC. | GENERAL PARTNER | |
| BARTKOWIAK, DARLA KERLEE | CHIEF COMPLIANCE OFFICER/DIRECTOR | 1065868 |
| BROWNE, KEVIN JAMES | SVP/FINOP | 1304129 |
| COALE, STEPHEN LORING | DIRECTOR | 1292536 |
| DOBSON, SEAN ALAN | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2009497 |
| MULLANEY, RICHARD RYAN JR | DIRECTOR | 1229830 |
| WALSH, JOSEPH NORTON III | PRESIDENT/DIRECTOR | 2804671 |
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.
