Mary R. Stone
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 Ruth Stone, who also goes by Mary Ruth Anderson, Mary Ruth Brown, Mary Stone, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1987. Mary had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1994 - November 10, 2014
GE INVESTMENT DISTRIBUTORS, INC
August 10, 1993 - October 29, 1993
DB ALEX. BROWN LLC
May 2, 1990 - June 24, 1993
SALOMON BROTHERS INC.
February 24, 1987 - May 29, 1990
LEHMAN BROTHERS 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
Series 8
Date: 7/20/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GE INVESTMENT DISTRIBUTORS, INC
CRD#: 32087 / SEC#: , 8-45710
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GE ASSET MANAGEMENT INCORPORATED | SHAREHOLDER COMMON | 105297 |
| CARROLL, WENDY JEANNE | SECRETARY | 5981481 |
| LAPORTA, JEANNE MARIE | DIRECTOR | 5946908 |
| MITCHELL, MAUREEN BRIDGET | PRESIDENT & DIRECTOR | 2717813 |
| SIMPSON, MATTHEW JULIAN | DIRECTOR | 2638052 |
| STACHE, PAUL GERARD | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, EXECUTIVE REPRESENTATIVE | 1170097 |
| TSANG, EUNICE YUEN I | FINANCIAL & OPERATIONS PRINCIPAL | 2544900 |
| ZAKRZEWSKI, MATTHEW JOSEPH | DIRECTOR | 6249027 |
Disclosures
| Regulatory Event | 1 |
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.
