Maria N. Orr
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.
Maria Nora Orr, who also goes by Nora Orr, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1996. Maria had worked at 7 firms and has passed the Series 65, Series 63, 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
March 17, 2014 - June 17, 2014
SUNSET FINANCIAL SERVICES, INC.
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
December 1, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 1, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 27, 2004 - November 23, 2009
HORNOR, TOWNSEND & KENT, LLC
January 15, 2004 - November 23, 2009
HORNOR, TOWNSEND & KENT, LLC
January 28, 2002 - January 12, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 28, 2002 - January 12, 2004
OSAIC FA, INC.
October 7, 1996 - January 3, 2002
WORLD INVESTMENTS, LLC
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
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
