Mary S. Cerwin
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 Susan Cerwin, who also goes by Mary Susan Winter, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2008 - September 2, 2014
FIRST BANKERS' BANC SECURITIES, INC
December 10, 2007 - July 17, 2008
LPL FINANCIAL LLC
August 10, 2007 - July 17, 2008
LPL FINANCIAL LLC
August 20, 1985 - August 10, 2007
FIRST BANKERS' BANC 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
FIRST BANKERS' BANC SECURITIES, INC
CRD#: 15041 / SEC#: , 8-31584
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
