Mary M. Macgregor
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 M Macgregor, who also goes by Mary Margaret Maynard, Meg Maynard, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - September 18, 2020
PRINCIPLE WEALTH
April 27, 2016 - October 30, 2017
ESSEX FINANCIAL SERVICES, INC.
April 27, 2016 - February 5, 2019
ESSEX FINANCIAL SERVICES, INC.
October 23, 2009 - April 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 18, 2002 - February 20, 2004
CITIGROUP GLOBAL MARKETS INC.
January 4, 2001 - June 28, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 11, 2000 - November 30, 2000
UBS FINANCIAL SERVICES INC.
December 19, 1996 - September 6, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PRINCIPLE WEALTH
CRD#: 290180 / SEC#: 801-111911
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
PRINCIPLE WEALTH
CRD#: 290180 / SEC#: 801-111911
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,732 |
| AUM (Assets Under Management) | $ 2,658,955,480 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 11/13/2024 | ||
| 05/09/2023 |
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.
