Mary D. Hersman
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 Denise Hersman, who also goes by Mary Denise Hale, Mary Denise Halle, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1992. Mary had worked at 3 firms and has passed the SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1995 - June 16, 2017
FINANCIAL AMERICA SECURITIES, INC.
March 1, 1995 - May 30, 1995
MORGAN STANLEY DW INC.
May 4, 1992 - January 27, 1995
AMERICA NORTHCOAST SECURITIES, 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 11
Date: 4/29/1992
Assistant Representative-Order Processing Qualification ExamCurrent Firm
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil 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.
