Mary E. Stevens
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 Elizabeth Stevens, who also goes by Beth Carr, Mary Elizabeth Carr, Mary Elizabeth Carr Stevens, Mary Elizabeth Carrstevens, Elizabeth Carr Stevens, Elizabeth Stevens, Mary Elizabeth Carr Stevens, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1988. Mary had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2021 - March 12, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2021 - March 12, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2020 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 24, 2020 - January 11, 2021
TD AMERITRADE, INC.
June 15, 2020 - January 11, 2021
TD AMERITRADE, INC.
June 23, 2016 - October 2, 2018
MORGAN STANLEY
June 1, 2016 - October 2, 2018
MORGAN STANLEY
June 12, 1995 - June 5, 1998
TUCKER ANTHONY INCORPORATED
March 13, 1992 - July 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 1988 - December 15, 1988
BRANDON SECURITIES & INVESTMENTS, 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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
