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MG

Mary E. Godfrey

Some features on this profile are disabled
CRD#: 4525088
MG

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 Godfrey, who also goes by Missy Godfrey, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2002. Mary had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Missy Godfrey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 21, 2015 - September 1, 2016

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

February 27, 2012 - October 15, 2013

NORTH SEA SECURITIES L.P.

BD
CRD#: 35530
NEW YORK, NY
Past

May 11, 2011 - January 13, 2012

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

August 5, 2004 - January 13, 2012

MORGAN JOSEPH TRIARTISAN CAPITAL LLC

BD
CRD#: 122351
NEW YORK, NY
Past

September 12, 2002 - February 5, 2004

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

July 16, 2002 - February 5, 2004

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 5/28/2002
Futures Managed Funds Examination

Current Firm

MJ
MORGAN JOSEPH TRIARTISAN LLC
MAC KAY - LEWIS INC. | MORGAN LEWIS GITHENS & AHN, INC. | MORGAN LEWINS & CO. INC. | MORGAN JOSEPH TRIARTISAN LLC | MORGAN JOSEPH LLC | MORGAN JOSEPH & CO. INC.

CRD#: 10948 / SEC#: , 8-27971

BD
Terminated by SEC on 12/15/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/02/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRIARTISAN HOLDINGS INC.SOLE SHAREHOLDER
BLECHER, STEVEN DONALDVICE CHAIRMAN OF THE BOARD, SECRETARY, TREASURER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, ROSFP1230668
FULVIO, GENNARO JOHNCHIEF FINANCIAL OFFICER; FINOP2435828
SORTE, JOHN FOLLETTCEO, EXECUTIVE CHAIRMAN, DIRECTOR, AND GENERAL SECURITIES PRINCIPAL1042672

Disclosures

Regulatory Event2

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.

Company Information

MORGAN JOSEPH TRIARTISAN LLC

CRD#: 10948

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