Maria Pearson
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 Pearson, who also goes by Maria Lynne Pearson, Maria Pearson, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1999. Maria had worked at 16 firms and has passed the Series 66, Series 63, Series 57TO, Series 79TO, SIE, Series 55 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
March 4, 2024 - November 27, 2024
EMPOWER FINANCIAL SERVICES, INC.
February 8, 2022 - March 4, 2024
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 28, 2020 - November 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2020 - November 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2017 - August 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2017 - August 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2015 - August 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2015 - August 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 2012 - October 30, 2013
AEGIS CAPITAL CORP.
April 6, 2011 - July 6, 2012
ASCENDIANT CAPITAL MARKETS, LLC
January 3, 2011 - April 6, 2011
BMA SECURITIES, LLC
July 2, 2009 - November 19, 2010
SEABOARD SECURITIES, INC.
January 17, 2007 - July 1, 2009
PARK FINANCIAL GROUP, INC.
December 8, 2004 - February 22, 2007
VIEWTRADE SECURITIES, INC.
March 10, 2004 - October 4, 2004
SUNSTATE EQUITY TRADING
June 6, 2003 - March 15, 2004
VFINANCE INVESTMENTS, INC
September 24, 2002 - May 20, 2003
PARAGON CAPITAL MARKETS, INC.
December 21, 1999 - March 26, 2002
HUDSON SECURITIES,INC.
April 26, 1999 - December 16, 1999
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 5, 1999 - April 29, 1999
JOSEPHTHAL & CO., 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 3/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
