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MM

Maureen A. Mcgowan

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CRD#: 2274365
MM

Professional summary

Maureen Ann Mcgowan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Maureen is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Maureen had worked at 3 firms, which includes FSIC, LEGACY FINANCIAL SERVICES INC., MONY SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maureen Ann Holloway

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 13, 1998 - November 3, 2000

FSIC

BD
CRD#: 37813
BOCA RATON, FL
Past

May 11, 1998 - May 26, 1998

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

September 21, 1992 - June 22, 1993

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/28/1998
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/17/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FS
FSIC
AFG FINANCIAL | STREETER MOORE AND STIPE | STONEBRIDGE CAPITAL MANAGEMENT | SECURITIES, INC | SCS SYSTEMS | ROBERT W. SCHWARZ | PROFESSIONAL BENEFIT SERVICES, INC. | PLANNING RESOURCES CORPORATION - A FINANCIAL SERVICES COMPANY | O'CONNELL & ATAROD | LEMME INVESTMENT GROUP | KIRKLAND FINANCIAL ADVISORS | HARBOR FINANCIAL ADVISORS | GREG MEINHARDT | GEORGE W. HOOK III FINANCIAL | FSIC - MATRIX WEALTH MANAGEMENT | FSIC | FINANCIAL SERVICES INTERNATIONAL CORP. | EJS WEALTH MANAGEMENT | EDWIN LANE | CHRYSLER ASSET MANAGEMENT, LLC | CANDY J LEE FINANCIAL PLANNING & MONEY MGMT | BRAD WEBER | BENICO LTD | ASSURED CONCEPT GROUP

CRD#: 37813 / SEC#: 801-64354, 8-48032

BD
Terminated by SEC on 12/08/2020
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Contact information

Main Address
5000 T-rex Ave Suite 300, Boca Raton, FL 33431
Mailing Address
Phone number
Established
Washington since 12/15/1994
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FSIC ANNUAL 2019 ADV UPDATE (9/20/2019)

Direct owners and executive officers

NamePositionCRD#
UNITED ATLANTIC CAPITALOWNER
ANDRESEN, HENRIK KURTCCO - BD2756324
ANDRESEN, HENRIK KURTCCO - RIA2756324
PENSKE, MARK HULBERTCEO/PRESIDENT4450959
ROMERO, MONIQUE VICTORIAFINOP6712654

Disclosures

Regulatory Event2

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.

Company Information

FSIC

CRD#: 37813

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