Maria L. Cleary
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 L Cleary, who also goes by Maria L Bettino, Maria Luisa Bettino, Marilu Bettino, Maria Luisa Cleary, Marilu Cleary, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1989. Maria had worked at 8 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
July 6, 2016 - September 20, 2023
MORGAN STANLEY DISTRIBUTION, INC.
June 29, 2015 - July 6, 2016
MORGAN STANLEY & CO. LLC
December 7, 2000 - November 19, 2003
SANFORD C. BERNSTEIN & CO., LLC
March 24, 1999 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
August 27, 1998 - February 22, 1999
KAUFMAN BROS., L.P.
November 1, 1996 - March 16, 1998
CHARLES SCHWAB & CO., INC.
April 2, 1996 - November 1, 1996
LYNCH, JONES & RYAN LLC
September 22, 1989 - February 27, 1996
CITICORP SECURITIES, INC.
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
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
