Maria L. Callaghan
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.
Maria Louise Callaghan, CFP®, who also goes by Maria L Fantoni, Maria Louise Fantoni, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 2011. Maria had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018
Experience
June 8, 2021 - July 22, 2025
NORTHWEST ASSET MANAGEMENT
February 6, 2019 - September 1, 2021
THE HARBOR GROUP, INC.
November 7, 2017 - January 7, 2019
SAGEVIEW ADVISORY GROUP, LLC
October 30, 2017 - December 31, 2018
CETERA WEALTH SERVICES, LLC
November 15, 2016 - September 7, 2017
TWIN FOCUS CAPITAL PARTNERS, LLC
November 30, 2015 - October 21, 2016
SENTINEL PENSION ADVISORS, LLC.
November 23, 2015 - October 21, 2016
SENTINEL SECURITIES, LLC.
June 12, 2013 - November 9, 2015
STRATEGIC ADVISERS LLC
September 30, 2011 - November 6, 2015
FIDELITY BROKERAGE SERVICES LLC
February 10, 2011 - June 3, 2011
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
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
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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