Mary A. Fulton
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 Ann Fulton, who also goes by Mary Ann Lauch, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1971. Mary had worked at 2 firms and has passed the Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 1973 - June 14, 1983
MBD INVESTORS, INC.
August 2, 1971 - September 15, 1975
INVESTORS SECURITY CORPORATION
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 1
Date: 7/26/1971
Registered Representative ExaminationF04
Date: 9/19/1973
Financial Principal ExaminationSeries 00
Date: 6/11/1973
General Securities Principal ExaminationCurrent firm
No current employment
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.
