Mandy L. Morin
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.
Mandy Lee Morin, who also goes by Mandy Lee Allen, was a registered financial professional .
Mandy is a previously registered financial professional and started their career in finance in 1994. Mandy had worked at 12 firms and has passed the Series 63, Series 65, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2014 - August 11, 2014
SCOTTRADE, INC.
May 30, 2012 - November 11, 2013
CHARLES SCHWAB & CO., INC.
May 30, 2012 - November 11, 2013
CHARLES SCHWAB & CO., INC.
May 4, 2011 - June 6, 2012
JACKSON ROSKELLEY WEALTH ADVISORS, INC.
March 30, 2011 - May 8, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 29, 2010 - March 24, 2011
CAPITAL INVESTMENT GROUP, INC.
March 9, 2010 - December 9, 2010
OSAIC SERVICES, INC.
December 10, 2008 - February 11, 2010
OXFORD INVESTMENT PARTNERS, LLC
September 4, 2008 - November 12, 2008
TRADE-PMR INC.
February 2, 2004 - February 13, 2006
VANGUARD MARKETING CORPORATION
January 15, 2004 - January 5, 2006
VANGUARD ADVISERS, INC.
March 7, 2001 - October 30, 2002
ROWLAND CARMICHAEL ADVISORS INC
October 18, 1995 - January 18, 2001
CHARLES SCHWAB & CO., INC.
August 17, 1994 - July 28, 1995
CHATFIELD DEAN & CO., 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
Series 8
Date: 3/11/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
