MC
Mallory M. Cortina
EATON VANCE DISTRIBUTORS
New York, NY 10036
Some features on this profile are disabled
CRD#: 6285333
MC
Professional summary
Mallory Mary Cortina, who also goes by Mallory Cortina, Mallory Mary Will, Mallory Will, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in New York, New York.
Mallory is registered as a RR (Registered Representative) and started their career in finance in 2014. Mallory has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mallory Cortina | Mallory Mary Will | Mallory Will
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.
CRS (Client Relationship Summary) - BD
Click below to view Mallory Mary Cortina's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 15, 2023 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 37731
New York, NY
Past
March 3, 2015 - June 15, 2023
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
New York, NY
Past
January 28, 2014 - February 11, 2015
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/15/2023)
RR
Alaska(6/15/2023)
RR
Arizona(6/15/2023)
RR
Arkansas(6/15/2023)
RR
California(6/15/2023)
RR
Colorado(6/15/2023)
RR
Connecticut(6/15/2023)
RR
Delaware(6/15/2023)
RR
District of Columbia(6/15/2023)
RR
Florida(6/15/2023)
RR
Georgia(6/15/2023)
RR
Hawaii(6/15/2023)
RR
Idaho(6/15/2023)
RR
Illinois(6/15/2023)
RR
Indiana(6/15/2023)
RR
Iowa(6/15/2023)
RR
Kansas(6/15/2023)
RR
Kentucky(6/15/2023)
RR
Louisiana(6/15/2023)
RR
Maine(6/15/2023)
RR
Maryland(6/15/2023)
RR
Massachusetts(6/15/2023)
RR
Michigan(6/15/2023)
RR
Minnesota(6/15/2023)
RR
Mississippi(6/15/2023)
RR
Missouri(6/15/2023)
RR
Montana(6/15/2023)
RR
Nebraska(6/15/2023)
RR
Nevada(6/15/2023)
RR
New Hampshire(6/15/2023)
RR
New Jersey(6/15/2023)
RR
New Mexico(6/15/2023)
RR
New York(6/15/2023)
RR
North Carolina(6/15/2023)
RR
North Dakota(6/15/2023)
RR
Ohio(6/16/2023)
RR
Oklahoma(6/15/2023)
RR
Oregon(6/15/2023)
RR
Pennsylvania(6/15/2023)
RR
Puerto Rico(6/15/2023)
RR
Rhode Island(6/15/2023)
RR
South Carolina(6/15/2023)
RR
South Dakota(6/15/2023)
RR
Tennessee(6/15/2023)
RR
Texas(6/15/2023)
RR
Utah(6/15/2023)
RR
Vermont(6/15/2023)
RR
Virgin Islands(6/15/2023)
RR
Virginia(6/15/2023)
RR
Washington(6/15/2023)
RR
West Virginia(6/15/2023)
RR
Wisconsin(6/15/2023)
RR
Wyoming(6/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EV
EATON VANCE DISTRIBUTORS, INC.
EATON VANCE DISTRIBUTORS, INC. | EV DISTRIBUTORS, INC. | EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Post Office Square, Boston, MA 02109
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(617) 482-8260
Established
Massachusetts since 07/15/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
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.
