Jean Marie Mcauliffe Powers
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.
Jean Marie Mcauliffe Powers, who also goes by Jean Marie Mcauliffe, Jean Mcauliffe, Jeanmarie Mcauliffe, Jean Marie Mcauliffe Powers, Jean Marie M Mcauliffe Powers, Jean Marie Mcauliffevicioso, Jean Marie VIcioso, was a registered financial professional .
Jean Marie is a previously registered financial professional and started their career in finance in 1985. Jean Marie had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
April 6, 2016 - April 3, 2018
QUEST CAPITAL STRATEGIES, INC.
May 7, 2013 - November 1, 2013
LPL FINANCIAL LLC
May 7, 2013 - November 1, 2013
LPL FINANCIAL LLC
April 28, 2011 - April 24, 2013
HSBC SECURITIES (USA) INC.
April 8, 2011 - April 24, 2013
HSBC SECURITIES (USA) INC.
June 15, 2010 - October 26, 2010
CHASE INVESTMENT SERVICES CORP.
June 15, 2010 - October 26, 2010
CHASE INVESTMENT SERVICES CORP.
October 9, 2003 - June 22, 2010
QUEST CAPITAL STRATEGIES, INC.
June 8, 1998 - October 19, 2001
CHASE INVESTMENT SERVICES CORP.
June 16, 1994 - June 4, 1998
CITICORP INVESTMENT SERVICES
March 5, 1991 - June 15, 1994
QUICK & REILLY, INC.
March 27, 1990 - September 5, 1990
CIBC WOOD GUNDY SECURITIES CORP.
May 9, 1989 - March 8, 1990
GRUNTAL & CO., L.L.C.
January 23, 1985 - July 18, 1989
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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