Mary E. Curran
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 Ellen Curran was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1990. Mary had worked at 4 firms and has passed the Series 63 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
May 20, 2011 - November 6, 2012
ALPS DISTRIBUTORS, INC.
September 9, 2005 - October 2, 2009
ALPS DISTRIBUTORS, INC.
January 22, 2003 - September 9, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
July 29, 1998 - September 10, 2002
MORGAN STANLEY DW INC.
June 6, 1997 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
August 3, 1990 - February 20, 1998
MORGAN STANLEY DW 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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
