Maryellen Martin
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.
Maryellen Martin was a registered financial professional .
Maryellen is a previously registered financial professional and started their career in finance in 1980. Maryellen had worked at 14 firms and has passed the Series 66, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2012 - September 18, 2013
BENJAMIN F. EDWARDS & COMPANY, INC.
September 7, 2012 - September 18, 2013
BENJAMIN F. EDWARDS & COMPANY, INC.
February 5, 2008 - September 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2008 - September 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2004 - June 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 2000 - June 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 1999 - October 18, 2000
LEGG MASON WOOD WALKER, INCORPORATED
September 24, 1998 - November 16, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 1996 - September 11, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 1996 - August 12, 1996
ALFRED BERG, INC.
January 30, 1992 - April 4, 1996
ALFRED BERG, INC.
August 29, 1990 - February 14, 1992
CARNEGIE, INC.
May 4, 1989 - September 10, 1990
SEB SECURITIES, INC.
June 16, 1986 - February 28, 1989
STUART, COLEMAN & CO., INC.
April 25, 1985 - April 19, 1986
COPELAND SECURITIES INCORPORATED
June 25, 1983 - December 18, 1984
REUTERS TRANSACTION SERVICES LLC
September 28, 1981 - August 10, 1983
UBS FINANCIAL SERVICES INC.
May 14, 1981 - October 10, 1981
RBC CAPITAL MARKETS CORPORATION
December 22, 1980 - February 11, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
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
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
