Mary E. Derussy
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 Elizabeth Derussy, who also goes by Mary E Brouwer, Mary Elizabeth Brouwer, Mary Brouwer De Russy, Mary Brouwer Derussy, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1999. Mary had worked at 12 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 13, 2024 - November 20, 2024
AE WEALTH MANAGEMENT, LLC
January 26, 2024 - July 18, 2024
USA FINANCIAL SECURITIES LLC
October 9, 2019 - January 29, 2024
OPTIVISE ADVISORY SERVICES LLC
May 3, 2018 - June 28, 2019
BLUE DUCK WEALTH MANAGEMENT
June 11, 2013 - December 31, 2017
J. W. COLE ADVISORS, INC.
May 21, 2013 - December 31, 2017
J.W. COLE FINANCIAL, INC.
August 26, 2011 - February 8, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 23, 2011 - February 8, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 28, 2009 - October 16, 2009
LPL FINANCIAL LLC
May 7, 2009 - October 16, 2009
LPL FINANCIAL LLC
July 7, 2008 - February 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 2008 - February 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2003 - July 9, 2008
LPL FINANCIAL LLC
October 10, 2003 - July 9, 2008
LPL FINANCIAL LLC
January 3, 2003 - October 3, 2003
KESTRA INVESTMENT SERVICES, LLC
January 11, 2002 - December 2, 2002
LEGG MASON WOOD WALKER, INCORPORATED
January 8, 1999 - January 28, 2002
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
