Mary E. Martin
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 Elizabeth Martin, who also goes by Betsy Buckley, Mary Elizabeth Buckley, Mary Elizabeth Reid, Mary Reid, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1990. Mary had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2009 - December 23, 2010
SECURITIES AMERICA, INC.
March 24, 2009 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2009 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 2004 - March 19, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 19, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 2003 - October 20, 2004
QUICK & REILLY, INC.
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
April 2, 1997 - September 25, 2000
FIS SECURITIES, INC.
March 12, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 12, 1990 - August 2, 1996
PRUCO SECURITIES, LLC.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
