Mary M. Tritley
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 Mcdermott Tritley, who also goes by Mary L Mcdermott, Mary Lucile Mcdermott, Mary Lucile Tritley, Mary M. Tritley, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 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
October 7, 2010 - July 1, 2015
UBS ASSET MANAGEMENT (AMERICAS) LLC
October 31, 2006 - October 6, 2010
UBS ASSET MANAGEMENT (US) INC.
June 25, 2001 - July 1, 2015
UBS ASSET MANAGEMENT (US) INC.
June 28, 2000 - May 11, 2001
AMERICAN CENTURY INVESTMENT SERVICES INC.
October 17, 1996 - April 4, 2000
DEAM INVESTOR SERVICES, INC.
Primary Firm SEC Registration
UBS ASSET MANAGEMENT (AMERICAS) LLC
CRD#: 106838 / SEC#: 801-34910
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
UBS ASSET MANAGEMENT (AMERICAS) LLC
CRD#: 106838 / SEC#: 801-34910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 399,225 |
| AUM (Assets Under Management) | $ 542,245,991,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 |
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.
