Marylis A. Wozniacki
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.
Marylis Ann Wozniacki, who also goes by Marylis A Smith, was a registered financial professional .
Marylis is a previously registered financial professional and started their career in finance in 1998. Marylis had worked at 5 firms and has passed the Series 66 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
September 12, 2011 - February 19, 2018
CBS FUNDING, INC.
February 16, 2005 - December 31, 2011
FORTUNE FINANCIAL SERVICES, INC.
May 12, 2003 - September 2, 2011
BEACON CAPITAL MANAGEMENT, INC.
April 22, 2003 - February 3, 2005
THE TAVENNER COMPANY
January 16, 1998 - July 9, 2002
SICOR SECURITIES 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
CBS FUNDING, INC.
CRD#: 158408 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 64 |
| AUM (Assets Under Management) | $ 65,071,694 |
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.
