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MP

Mary C. Pishko

Some features on this profile are disabled
CRD#: 2397460
MP

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 Christine Pishko, who also goes by Christine Pishko, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 1995. Mary had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christine Pishko

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

January 3, 2017 - September 18, 2018

NUVEEN SECURITIES, LLC

BD
CRD#: 469
New York City, NY
Past

August 12, 2011 - December 31, 2016

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

September 27, 2007 - December 31, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

September 27, 2007 - August 12, 2008

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

April 2, 2007 - June 18, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 25, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
NEW YORK, NY
Past

April 21, 1998 - October 20, 2004

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 15654
NEW YORK, NY
Past

October 16, 1995 - October 1, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 19, 1995 - August 14, 1995

AUGMENT SECURITIES INC.

BD
CRD#: 28373
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
Series 63
Date: 8/30/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/2011
General Securities Representative Examination

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469

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