Mary Lloyd
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 Lloyd, who also goes by Mary L Lloyd, Mary Louise Lloyd, Mary Louise Reardon, Mary Louise Reardon, Mary Louise Reynolds, Mary Louise Schleper, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1993. Mary had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2024 - December 22, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
July 19, 2024 - December 22, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2022 - June 27, 2024
EDWARD JONES
May 17, 2022 - June 27, 2024
EDWARD JONES
March 4, 2022 - April 12, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 3, 2022 - April 12, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 18, 2017 - February 22, 2022
EDWARD JONES
July 14, 2017 - February 22, 2022
EDWARD JONES
May 10, 2016 - May 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2016 - May 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2016 - April 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2016 - April 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 4, 2015 - December 18, 2015
NATIONAL PLANNING CORPORATION
September 3, 2015 - December 18, 2015
NATIONAL PLANNING CORPORATION
March 11, 2008 - August 10, 2015
TRUIST INVESTMENT SERVICES, INC.
January 28, 2008 - August 10, 2015
TRUIST INVESTMENT SERVICES, INC.
February 21, 2006 - November 20, 2007
TRUIST INVESTMENT SERVICES, INC.
May 7, 2003 - November 20, 2007
TRUIST INVESTMENT SERVICES, INC.
March 29, 2000 - March 31, 2003
EDWARD JONES
March 1, 1993 - September 21, 1995
EDWARD JONES
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
