Mary A. Knight
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 Ann Knight, who also goes by Mary Ann Brookshire, Mary Ann Howell, Mary Ann Powell, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2016 - December 31, 2016
SIGMA FINANCIAL CORPORATION
July 16, 2003 - October 20, 2016
WOODBURY FINANCIAL SERVICES, INC.
July 1, 2003 - October 20, 2016
WOODBURY FINANCIAL SERVICES, INC.
July 31, 2001 - July 14, 2003
LOCUST STREET SECURITIES, INC.
June 23, 2000 - August 6, 2001
WADDELL & REED
October 21, 1998 - November 10, 1998
WADDELL & REED
October 16, 1992 - June 16, 2000
CUNA BROKERAGE SERVICES, INC.
November 19, 1989 - October 1, 1991
OSAIC WEALTH, INC.
March 27, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 10, 1985 - April 10, 1989
PFS INVESTMENTS 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
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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