Maureen E. Hamblin

PENTEGRA INVESTORS

SHELTON, CT 06484-4657

CRD#: 2700771

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Professional summary

Maureen Ellen Hamblin, who also goes by Maureen Ellen Barna, is a registered financial advisor currently at PENTEGRA INVESTORS, INC. located in Shelton, Connecticut and PENTEGRA DISTRIBUTORS INC. located in Shelton, Connecticut.

Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Maureen has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maureen Ellen Barna

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) - RIA

Click below to view Maureen Ellen Hamblin's CRS (Customer Relationship Summary).

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

Current

October 9, 2025 - Present

PENTEGRA INVESTORS, INC.

Office #1: 2 Enterprise Drive Suite 408, Shelton, CT 06484-4657

RIA

CRD#: 111503

SHELTON, CT

Current

June 18, 1998 - Present

PENTEGRA DISTRIBUTORS INC.

Office #1: 2 Enterprise Drive Suite 408, Shelton, CT 06484

CRD#: 26249

Shelton, CT

Past

November 16, 2007 - September 8, 2025

PENTEGRA INVESTORS, INC.

RIA

CRD#: 111503

SHELTON, CT

Past

July 6, 1996 - February 11, 1997

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENTEGRA INVESTORS, INC.

PENTEGRA INVESTORS, INC. | RETIREMENT SYSTEM INVESTORS INC

CRD#: 111503 / SEC#: 801-36893

RIA

Registered Investment Advisory firm - (8/1/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/22/2006)

Illinois
(12/10/2019)

IAR

New Jersey
(10/9/2025)

IAR

New York
(10/14/2025)

Washington
(12/10/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/5/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PENTEGRA INVESTORS, INC.

PENTEGRA INVESTORS, INC. | RETIREMENT SYSTEM INVESTORS INC

CRD#: 111503 / SEC#: 801-36893

RIA

Registered Investment Advisory firm - (8/1/1990 Approved)

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Contact information

Main Address

701 Westchester Avenue Suite 320e, White Plains, NY 10604-3805

Mailing Address

Phone number

(914) 694-1300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENTEGRA INVESTORS, INC. - INSTITUTIONAL SERVICES (3/25/2025)

Regulatory assets under management

Total Number of Accounts	272
AUM (Assets Under Management)	$ 5,507,349,576

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.

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Advisor Monitoring

Firm Stability Insights

Maureen E. Hamblin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Ellen Hamblin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENTEGRA DISTRIBUTORS INC.

PENTEGRA INVESTORS, INC.

SANFORD C. BERNSTEIN & CO., INC.

Primary Firm SEC Registration

PENTEGRA INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2005

Series 63

Date: 8/22/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/4/1996

FINRA

Current Firm

PENTEGRA INVESTORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENTEGRA INVESTORS, INC.

TRUST BUT VERIFY

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