Cary W. Bushman
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.
Cary Wray Bushman was a registered financial professional .
Cary is a previously registered financial professional and started their career in finance in 1988. Cary had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2023 - December 20, 2024
MUTUAL OF AMERICA SECURITIES LLC
May 24, 2022 - February 6, 2023
ALIGHT FINANCIAL ADVISORS, LLC
May 24, 2022 - February 6, 2023
ALIGHT FINANCIAL SOLUTIONS, LLC
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 24, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
September 10, 2015 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
December 16, 2008 - December 31, 2014
STRATEGIC ADVISERS LLC
January 1, 2008 - April 14, 2015
FIDELITY BROKERAGE SERVICES LLC
June 22, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
March 2, 2000 - November 2, 2005
FIDELITY BROKERAGE SERVICES LLC
January 15, 1999 - March 8, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
March 23, 1988 - December 31, 1998
FIDELITY BROKERAGE SERVICES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 7/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
