Maureen A. Spivack
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.
Maureen A Spivack, who also goes by Maureen Rose Ames, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1999. Maureen had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2018 - December 17, 2020
MOODY CAPITAL SOLUTIONS, INC
October 22, 2012 - October 12, 2016
KPMG CORPORATE FINANCE LLC
May 22, 2012 - October 22, 2012
LOCUST WALK SECURITIES, LLC
October 8, 2008 - April 30, 2012
MORGAN KEEGAN & COMPANY, LLC
May 17, 2006 - June 12, 2008
UBS SECURITIES LLC
February 12, 1999 - May 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
Red Flags
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