Mary J. Fiske
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 Jodice Fiske, who also goes by Mary Ann Fiske, Mary Ann Jodice, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 4 firms and has passed the 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
June 4, 2012 - October 2, 2014
ROSS, SINCLAIRE & ASSOCIATES, LLC
May 7, 2007 - June 4, 2012
FIRST SOUTHWEST COMPANY, LLC
October 2, 1996 - April 20, 2001
TUCKER ANTHONY INCORPORATED
April 30, 1996 - October 8, 1996
FLEET SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
