Marian J. Handley
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.
Marian Jo Handley, who also goes by Marian Handley Hall, Marian J Hall, Marian J Handley, Marian Handley, Marian Handley Handley, Marian Handley Handleyhall, Marian J Handleyhall, Marian Handleyhall, was a registered financial professional .
Marian is a previously registered financial professional and started their career in finance in 1986. Marian had worked at 13 firms and has passed the Series 66, Series 63, SIE 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
July 13, 2010 - June 6, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2006 - June 6, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2004 - April 28, 2006
CITIGROUP GLOBAL MARKETS INC.
September 21, 2001 - December 19, 2002
LPL FINANCIAL LLC
January 12, 1999 - October 15, 1999
NATIONAL PLANNING CORPORATION
March 4, 1998 - December 22, 1998
FSC SECURITIES CORPORATION
August 27, 1994 - March 3, 1998
UBS FINANCIAL SERVICES INC.
March 22, 1994 - May 26, 1994
J.P. MORGAN SECURITIES LLC
July 16, 1993 - March 8, 1994
CIBC WORLD MARKETS CORP.
October 4, 1991 - June 30, 1993
MORGAN STANLEY DW INC.
May 11, 1989 - October 30, 1989
TD AMERITRADE, INC.
May 17, 1988 - September 28, 1988
CITIGROUP GLOBAL MARKETS INC.
January 13, 1988 - March 2, 1988
CAPITAL BROKERAGE CORPORATION
April 26, 1986 - November 17, 1987
KENNEDY, CABOT & CO.
January 23, 1986 - June 26, 1986
B.O.C.L. SECURITIES CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
