Mary B. Coughlin
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 Beth Coughlin, who also goes by Mary Coughlin, Mary Beth Howe, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2001. Mary had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 13, 2021 - August 22, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 1, 2021 - August 22, 2022
FIDELITY BROKERAGE SERVICES LLC
May 20, 2019 - October 1, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
May 16, 2019 - October 1, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 2018 - April 23, 2018
LPL FINANCIAL LLC
February 14, 2018 - April 23, 2018
LPL FINANCIAL LLC
January 26, 2006 - February 14, 2018
INVEST FINANCIAL CORPORATION
April 25, 2001 - February 14, 2018
INVEST FINANCIAL CORPORATION
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
