Marie Sardano
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.
Marie Sardano, who also goes by Marie Jacobs, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1987. Marie had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 22 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
September 24, 2013 - January 31, 2020
KEATS, CONNELLY & ASSOCIATES, INC
September 3, 1993 - April 28, 1995
THE ADVISORS GROUP, INC.
July 10, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 10, 1990 - October 1, 1993
MONY SECURITIES CORPORATION
May 9, 1988 - November 27, 1989
ILG SECURITIES CORPORATION
May 22, 1987 - June 1, 1988
MONY SECURITIES CORPORATION
May 22, 1987 - June 3, 1988
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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
KEATS, CONNELLY & ASSOCIATES, INC
CRD#: 148884 / SEC#: 801-69866
Contact information
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.
