Mary M. Obrien
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 M Obrien, who also goes by Maggie Baumhoff, Mary Margaret Baumhoff, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1982. Mary had worked at 4 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
May 1, 2009 - February 5, 2016
FIRST CLEARING, LLC
January 1, 2008 - April 24, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 23, 1985 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 19, 1982 - June 25, 1984
R. ROWLAND & CO., INCORPORATED
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: 3/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
