Mary Ellen Connors
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 Ellen Connors, who also goes by Mary Ellen Connors, Mary Ellen Connors, Maryellen Connors, Mary Ellen Simon, Mary Ellen Theresa Simon, Maryellen Simon, was a registered financial professional .
Mary Ellen is a previously registered financial professional and started their career in finance in 1987. Mary Ellen had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2010 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2008 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
June 29, 2004 - October 3, 2007
BANC OF AMERICA SECURITIES LLC
September 5, 2000 - June 29, 2004
APEX CLEARING CORPORATION
October 19, 1999 - September 5, 2000
ROBERTSON STEPHENS, INC.
July 1, 1999 - October 26, 1999
APEX CLEARING CORPORATION
February 4, 1998 - April 17, 1998
FINANCIAL SQUARE PARTNERS
July 11, 1997 - November 18, 1997
CANTOR FITZGERALD SECURITIES
July 11, 1997 - November 18, 1997
CANTOR FITZGERALD & CO.
October 12, 1993 - May 8, 1996
FLEET ENTERPRISES, INC.
October 13, 1992 - October 1, 1993
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 10, 1990 - October 5, 1992
SANWA SECURITIES (USA) CO., L.P.
July 25, 1987 - March 14, 1990
BNY SECURITIES, INC.
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.
