Mary Astor
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 Astor was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2004. Mary had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - April 24, 2018
ABN AMRO SECURITIES (USA) LLC
October 29, 2013 - August 18, 2017
BARCLAYS CAPITAL INC.
July 26, 2011 - October 1, 2013
BRICKELL GLOBAL MARKETS, INC.
July 17, 2007 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2005 - June 1, 2007
BNP PARIBAS SECURITIES CORP.
November 5, 2004 - June 7, 2005
WELLS FARGO SECURITIES, 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
Series 55
Date: 4/22/2005
Limited Representative-Equity Trader ExamCurrent Firm
ABN AMRO SECURITIES (USA) LLC
CRD#: 151796 / SEC#: , 8-68398
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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