Marian Howley
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.
Marian Howley, CFP®, who also goes by Marian Buggy, was a registered financial professional .
Marian is a previously registered financial professional and started their career in finance in 1998. Marian 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
August 22, 2014 - June 22, 2015
KESTRA INVESTMENT SERVICES, LLC
August 22, 2014 - June 22, 2015
KESTRA INVESTMENT SERVICES, LLC
September 7, 2010 - March 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2010 - March 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2008 - May 12, 2009
UBS FINANCIAL SERVICES INC.
November 27, 2006 - November 11, 2008
UBS INTERNATIONAL INC.
October 21, 2003 - November 9, 2006
DEUTSCHE BANK SECURITIES INC.
May 30, 2003 - October 21, 2003
DEAM INVESTOR SERVICES, INC.
April 24, 2001 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
February 17, 1998 - October 29, 1999
DEAM INVESTOR SERVICES, INC.
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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