Mary A. Taft-mcphee
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 Allison Taft-mcphee was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2007. Mary had worked at 3 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2016 - October 27, 2017
NEIGHBORLY SECURITIES
February 29, 2008 - November 26, 2014
RBC CAPITAL MARKETS, LLC
April 3, 2007 - February 29, 2008
RBC CAPITAL MARKETS 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
Series 55
Date: 4/30/2007
Limited Representative-Equity Trader ExamCurrent Firm
NEIGHBORLY SECURITIES
CRD#: 17686 / SEC#: , 8-35597
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
