Mary Powers
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 Powers, who also goes by Mary Elizabeth Powers, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1987. Mary had worked at 3 firms and has passed the Series 63, Series 7, Series 62, Series 52, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 1994 - December 17, 2002
WATERFORD FINANCIAL, INC.
April 28, 1993 - September 14, 1993
JM DISSOLUTION, INC.
September 11, 1987 - April 22, 1991
MARQUETTE FINANCIAL SERVICES, 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 62
Date: 8/31/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
WATERFORD FINANCIAL, INC.
CRD#: 33828 / SEC#: , 8-46396
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
