Maria J. Fluker
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.
Maria Jean Fluker, who also goes by Maria Jean Seedner, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1994. Maria had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2008 - December 10, 2025
CUSO FINANCIAL SERVICES, L.P.
September 15, 2004 - December 9, 2025
CUSO FINANCIAL SERVICES, L.P.
April 15, 2002 - September 11, 2004
LPL FINANCIAL LLC
June 1, 1998 - March 4, 2002
TD AMERITRADE, INC.
May 15, 1996 - June 1, 1998
JACK WHITE & COMPANY, INC.
August 26, 1994 - April 30, 1996
VANGUARD CAPITAL
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 ExaminationCurrent Firm
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
