Mary L. Sanders

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CRD#: 603000

Professional summary

Mary Louise Sanders was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mary is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Mary had worked at 13 firms, which includes SPECTRUM INVESTMENT SERVICES INC., MONEY CONCEPTS CAPITAL CORP, SECURITIES AMERICA INC., HARBOUR INVESTMENTS INC., COORDINATED CAPITAL SECURITIES INC., WINDSOR EQUITY CORPORATION, LOWRY FINANCIAL SERVICES CORPORATION, PFS INVESTMENTS INC., PLANNED INVESTMENT CO. INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., WZW FINANCIAL SERVICES INC., OSAIC FS INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Lou Harrington | Marylou Liva | Mary Louise Mccoy | Mary Lou Sanders

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 20, 1994 - January 16, 2001

SPECTRUM INVESTMENT SERVICES, INC.

CRD#: 36962

MISHAWAKA, IN

Past

April 15, 1993 - September 15, 1994

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

November 25, 1992 - June 28, 1993

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 29, 1988 - December 1, 1992

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

March 21, 1988 - May 11, 1988

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

Past

March 28, 1985 - March 21, 1988

WINDSOR EQUITY CORPORATION

CRD#: 13093

Past

March 13, 1984 - April 1, 1985

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

Past

May 18, 1983 - March 30, 1984

PFS INVESTMENTS INC.

CRD#: 10111

Past

December 10, 1981 - March 23, 1982

PLANNED INVESTMENT CO., INC.

CRD#: 3050

Past

March 26, 1981 - February 10, 1982

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

July 5, 1978 - March 2, 1981

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

December 6, 1977 - July 9, 1978

OSAIC FS, INC.

CRD#: 3870

Past

September 1, 1977 - April 6, 1978

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/20/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 4/2/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/2/1999

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/22/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/1985

General Securities Principal Examination

Current Firm

SPECTRUM INVESTMENT SERVICES, INC.

CRD#: 36962 / SEC#: , 8-47557

Cancelled by SEC on 01/31/2007

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Contact information

Main Address

Mailing Address

Phone number

Established

Indiana since 04/12/1994

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SANDERS, MARY LOUISE	PRESIDENT, SECRETARY, TREASURER, DIRECTOR, CFO	603000
SCHMIDT, MARLIN FRED	PRINCIPAL, ASSISTANT COMPLIANCE OFFICER	414008

Red Flags

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Advisor Monitoring

Firm Stability Insights

Mary L. Sanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

SECURITIES AMERICA, INC.

HARBOUR INVESTMENTS, INC.

COORDINATED CAPITAL SECURITIES, INC.

WINDSOR EQUITY CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

PFS INVESTMENTS INC.

PLANNED INVESTMENT CO., INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

WZW FINANCIAL SERVICES, INC.

OSAIC FS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/1985

Series 1

Date: 4/2/1969

Series 53

Date: 11/2/1999

Series 27

Date: 9/22/1994

Series 24

Date: 10/7/1985

Current Firm

SPECTRUM INVESTMENT SERVICES, INC.

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

SPECTRUM INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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