Mary D. Esser
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 Diane Esser was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1981. Mary had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1997 - May 8, 2024
CRESSMAN ESSER INVESTMENT ADVISORS, INC.
November 20, 1992 - April 30, 2015
STONEX OUTSOURCED SERVICES LLC
April 2, 1990 - October 7, 1992
HAMILTON INVESTMENTS, INC.
May 23, 1985 - April 24, 1990
FOREST SECURITIES,INC.
January 30, 1985 - January 15, 1986
CAPITAL SECURITIES INVESTMENT CORPORATION
November 7, 1984 - June 3, 1985
IFR SECURITIES, INC.
October 10, 1981 - April 7, 1983
KIDDER, PEABODY & CO. INCORPORATED
February 23, 1981 - August 26, 1981
WILLIAM BLAIR
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
CRESSMAN ESSER INVESTMENT ADVISORS, INC.
CRD#: 122962 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 111 |
| AUM (Assets Under Management) | $ 23,254,581 |
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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