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Mariam Mansoor

INVESCO CAPITAL MARKETS
Boston, MA 02110
Some features on this profile are disabled
CRD#: 7520803
MM

Professional summary

Mariam Mansoor is a registered financial professional currently at INVESCO CAPITAL MARKETS, INC. located in Boston, Massachusetts.

Mariam is registered as a RR (Registered Representative) and started their career in finance in 2022. Mariam has worked at 2 firms and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Mariam Mansoor'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®
None

Experience

Current

October 8, 2024 - Present

INVESCO CAPITAL MARKETS, INC.

Office #1: 100 Federal St. 28th Floor, Boston, MA 02110
BD
CRD#: 6939
Boston, MA
Past

November 3, 2022 - August 19, 2024

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

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

General Industry/Product Exam
RR
Series 7TO
Date: 11/3/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INVESCO CAPITAL MARKETS, INC.
INVESCO CAPITAL MARKETS, INC. | ZEDD SECURITIES | VAN KAMPEN/AMERICAN CAPITAL DISTRIBUTORS, INC. | VAN KAMPEN MERRITT INC. | VAN KAMPEN FUNDS INC. | VAN KAMPEN FILKIN & MERRITT INC. | VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC.

CRD#: 6939 / SEC#: , 8-19412

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(713) 214-1919
Established
Delaware since 11/01/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.OWNER
GEYER, WILLIAM SENGDIRECTOR AND CO-PRESIDENT2250035
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARTIGAN, BRIAN CHRISTOPHERDIRECTOR AND CO-PRESIDENT4227272
SAUERBORN, THOMAS JPRINCIPAL OPERATIONS OFFICER1554859
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event6

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.

Company Information

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939Boston, MA 02110

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