Mary Jean Thomas
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 Jean Thomas, who also goes by Mary Jean Lawson, Mary J. Thomas, Mary Jean Thomas, Mary Jean Jean Thomas, Mary Jean Thomas, was a registered financial professional .
Mary Jean is a previously registered financial professional and started their career in finance in 1999. Mary Jean had worked at 5 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
July 27, 2021 - December 31, 2023
TD AMERITRADE, INC.
June 5, 2003 - May 20, 2024
CHARLES SCHWAB & CO., INC.
October 29, 2002 - January 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2002 - January 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2000 - April 18, 2002
MORGAN STANLEY DW INC.
December 23, 1999 - June 9, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
