Mary Ann E. Herrmann
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 Ann Elizabeth Herrmann, who also goes by Mary Ann Elizabeth Daley, Mary Ann Elizabeth Daley-herrmann, Mary Ann Daley-herrmann, Mary Ann Elizabeth Souders, was a registered financial professional .
Mary Ann is a previously registered financial professional and started their career in finance in 2006. Mary Ann had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - December 19, 2024
LPL ENTERPRISE, LLC
November 14, 2024 - December 19, 2024
LPL ENTERPRISE, LLC
January 17, 2014 - November 14, 2024
PRUCO SECURITIES, LLC.
December 17, 2013 - November 14, 2024
PRUCO SECURITIES, LLC.
December 21, 2011 - December 11, 2013
EQUITABLE ADVISORS, LLC
June 9, 2009 - December 11, 2013
EQUITABLE ADVISORS, LLC
December 14, 2006 - May 20, 2009
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
