Mary Erwin

O'SHAUGHNESSY ASSET MANAGEMENT

STAMFORD, CT 06902

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CRD#: 4800999

Professional summary

Mary Erwin, who also goes by Mary Rose Erwin, Mary Erwin, is a registered financial advisor currently at O'SHAUGHNESSY ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mary has worked at 14 firms and has passed the Series 66, Series 7 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Rose Erwin | Mary Erwin

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) - RIA

Click below to view Mary Erwin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 29, 2025 - Present

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902

RIA

CRD#: 144594

STAMFORD, CT

Past

April 18, 2023 - May 13, 2024

RUSSELL INVESTMENTS

RIA

CRD#: 105734

Tampa, FL

Past

February 24, 2023 - May 13, 2024

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

November 5, 2019 - November 17, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

November 4, 2019 - November 17, 2022

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 18, 2019 - June 17, 2019

CAPTRUST

RIA

CRD#: 175112

Tampa, FL

Past

April 11, 2019 - June 17, 2019

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

Tampa, FL

Past

December 12, 2018 - March 22, 2019

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

Boston, MA

Past

October 30, 2018 - March 22, 2019

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

BOSTON, MA

Past

October 15, 2013 - January 15, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TAMPA, FL

Past

September 24, 2013 - January 15, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

July 18, 2011 - December 12, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

TAMPA, FL

Past

April 19, 2007 - July 31, 2009

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

September 29, 2006 - July 31, 2009

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

May 30, 2006 - October 2, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

SAINT PETERSBURG, FL

Past

May 26, 2006 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

January 6, 2006 - May 4, 2006

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

TAMPA, FL

Past

November 10, 2005 - May 4, 2006

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

TAMPA, FL

Past

July 13, 2005 - September 9, 2005

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA

Registered Investment Advisory firm - (7/25/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(9/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/5/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/30/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/15/2015

Securities Industry Essentials Examination

Current Firm

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA

Registered Investment Advisory firm - (7/25/2007 Approved)

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Contact information

Main Address

100 First Stamford Place, Stamford, CT 06902

Mailing Address

Phone number

(203) 975-3333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OSAM FORM ADV PART 2 (12-2024) FINAL (12/17/2024)

Regulatory assets under management

Total Number of Accounts	6,791
AUM (Assets Under Management)	$ 12,599,503,777

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.

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Advisor Monitoring

Firm Stability Insights

Mary Erwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Erwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CAPTRUST

CAPFINANCIAL SECURITIES, LLC.

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/5/2018

Series 7

Date: 10/30/2018

SIE

Date: 1/15/2015

Current Firm

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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