Mary S. Gillen
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 Sarah Gillen, who also goes by Mary Sarah Gillen, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 6, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - May 17, 2024
ALLIANCE-ONE INVESTMENTS, LLC
February 25, 2014 - December 12, 2014
NEW ENGLAND SECURITIES
February 25, 2014 - September 26, 2018
METLIFE INVESTORS DISTRIBUTION COMPANY
July 12, 2006 - July 24, 2007
VOYA FINANCIAL PARTNERS, LLC
April 5, 1999 - May 16, 2006
CHARLES SCHWAB & CO., INC.
March 23, 1999 - May 16, 2006
CHARLES SCHWAB & CO., INC.
January 22, 1997 - December 1, 1998
CITIGROUP GLOBAL MARKETS INC.
March 18, 1996 - January 9, 1997
ALAMO CAPITAL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 2/24/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
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.
