Mary K. Willis
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 Kayleen Willis, who also goes by Mary Heap, Kayleen M Willis, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1993. Mary had worked at 4 firms and has passed the Series 63, Series 6TO, 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
February 5, 2002 - August 7, 2024
AQUILA DISTRIBUTORS LLC
February 9, 2000 - December 20, 2001
UBS FINANCIAL SERVICES INC.
November 12, 1996 - May 20, 1998
MORGAN STANLEY DW INC.
January 28, 1995 - September 22, 1995
UBS FINANCIAL SERVICES INC.
October 13, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AQUILA DISTRIBUTORS LLC
CRD#: 1706 / SEC#: , 8-13173
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQUILA MANAGEMENT CORPORATION | SHAREHOLDER | |
| DIMAGGIO, JOSEPH PAUL | TREASURER | 1359940 |
| FILLMORE, RANDALL SCOTT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4188259 |
| HERRMANN, CONRAD BEADLE | MANAGER | 1370319 |
| HERRMANN, DIANA PARSONS | MANAGER | 2913698 |
| OBRIEN, PAUL GREGORY | PRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL | 3129605 |
| ROSE, PAMELA CAROLINE MS. | SECRETARY | 1559550 |
| SARKANY, THOMAS THOMAS | MANAGER | 1024285 |
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.
