Mary K. Gouveia
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 Katherine Gouveia, who also goes by Mary K Gouveia, Mary Katherine Gouveia, Mary Katherine Mcfadden, Mary Mcfadden, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2006. Mary had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of Maryland University College
Bachelor of Science (BS) - Finance Major Financial Planning Minor
2018
Experience
May 23, 2022 - August 16, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 2, 2022 - August 16, 2024
FIDELITY BROKERAGE SERVICES LLC
August 9, 2021 - February 22, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2021 - February 22, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2020 - August 5, 2021
TRUIST ADVISORY SERVICES, INC.
December 8, 2020 - August 5, 2021
TRUIST INVESTMENT SERVICES, INC.
January 31, 2020 - December 1, 2020
PNC WEALTH MANAGEMENT LLC
January 10, 2020 - December 1, 2020
PNC WEALTH MANAGEMENT LLC
August 18, 2016 - April 22, 2019
TRUIST ADVISORY SERVICES, INC.
December 2, 2011 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
December 2, 2011 - April 22, 2019
TRUIST INVESTMENT SERVICES, INC.
June 6, 2011 - October 6, 2011
MORGAN KEEGAN & COMPANY, LLC
June 6, 2011 - October 6, 2011
MORGAN KEEGAN & COMPANY, LLC
August 16, 2010 - June 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2010 - June 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2008 - January 16, 2009
NATIONAL PLANNING CORPORATION
August 8, 2006 - August 20, 2007
CITIGROUP GLOBAL MARKETS INC.
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.
