Maryanne A. Moxie
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.
Maryanne Anita Moxie, who also goes by Maryanne Anita Lewis, was a registered financial professional .
Maryanne is a previously registered financial professional and started their career in finance in 1991. Maryanne had worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE, 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
August 1, 2022 - April 23, 2024
ADP BROKER-DEALER, INC.
July 1, 2011 - December 9, 2013
UBS FINANCIAL SERVICES INC.
May 27, 2011 - December 9, 2013
UBS FINANCIAL SERVICES INC.
November 19, 2007 - November 25, 2009
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 7, 1997 - August 11, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 1, 1993 - April 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1991 - September 22, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, 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
Series 6TO
Date: 8/1/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
Red Flags
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