Mary T. Mcgovern
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 Tobin Mcgovern, who also goes by Mary A Tobin, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1998. Mary had worked at 8 firms and has passed the Series 66, 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
February 29, 2024 - November 14, 2024
MISSIONSQUARE RETIREMENT
February 28, 2024 - November 14, 2024
MISSIONSQUARE INVESTMENT SERVICES
September 29, 2020 - February 1, 2024
MORGAN STANLEY
September 25, 2020 - February 1, 2024
MORGAN STANLEY
February 8, 2019 - April 13, 2020
M&T SECURITIES, INC.
February 8, 2019 - April 13, 2020
M&T SECURITIES, INC.
October 23, 2009 - January 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 17, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 31, 2002 - March 4, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 2001 - March 4, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2000 - April 26, 2001
WELLS FARGO CLEARING SERVICES, LLC
March 2, 1998 - January 12, 1999
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
