Mary S. Harper
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 Sadler Harper, who also goes by Mary Sadler Hatch, Mary Bland Sadler, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1968. Mary had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 1, Series 8, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2005 - June 26, 2013
CREDIT SUISSE SECURITIES (USA) LLC
December 16, 2005 - June 26, 2013
CREDIT SUISSE SECURITIES (USA) LLC
September 29, 2000 - January 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 29, 2000 - January 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
February 14, 2000 - October 20, 2000
WACHOVIA SECURITIES, INC.
July 20, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
November 13, 1989 - July 20, 1998
ISLAND INVESTMENT SERVICES, INC.
February 16, 1988 - April 4, 1989
SOUTHEAST BANK BROKERAGE SERVICE, INC.
June 23, 1986 - February 16, 1988
PALM BEACH CAPITAL SERVICES, INC.
November 1, 1968 - December 4, 1978
ALLEN & COMPANY OF FLORIDA, LLC
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: 10/24/1968
Registered Representative ExaminationSeries 8
Date: 6/21/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
