Mariacherry G. Mccaffrey
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.
Mariacherry Gonzales Mccaffrey, who also goes by Maria Cherry Gonzales, Maria Cherry Romero Gonzales, Mariacherry Romero Gonzales, was a registered financial professional .
Mariacherry is a previously registered financial professional and started their career in finance in 1998. Mariacherry had worked at 5 firms and has passed the 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
January 1, 2008 - April 30, 2013
PORTFOLIO BROKERAGE SERVICES, INC.
July 31, 2001 - May 30, 2002
WELLS FARGO INVESTMENTS, LLC
May 23, 2000 - January 26, 2001
STEPHENS
November 23, 1999 - June 21, 2000
WELLS FARGO SECURITIES INC.
May 12, 1999 - November 9, 1999
STEPHENS
July 9, 1998 - April 16, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 1 |
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.
