Mary J. Beckley
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 Jo Beckley, who also goes by Mary Jo Brubach, Jo Mallan, Mary Jo Mallan, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2010 - October 3, 2014
NEXT FINANCIAL GROUP, INC.
May 28, 2010 - October 3, 2014
NEXT FINANCIAL GROUP, INC.
October 27, 2008 - June 1, 2010
KEY INVESTMENT SERVICES LLC
October 27, 2008 - June 1, 2010
KEY INVESTMENT SERVICES LLC
October 10, 2008 - October 29, 2008
LPL FINANCIAL LLC
October 10, 2008 - October 29, 2008
LPL FINANCIAL LLC
January 30, 2002 - October 30, 2008
MUTUAL SERVICE CORPORATION
October 31, 2001 - October 30, 2008
MUTUAL SERVICE CORPORATION
June 21, 2000 - November 16, 2001
CITIGROUP GLOBAL MARKETS INC.
July 30, 1996 - June 21, 2000
EDWARD JONES
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
