Mary A. Strotman
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 Ann Strotman was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1975. Mary had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2015 - December 31, 2015
PIPER SANDLER & CO.
September 8, 2010 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
December 5, 2005 - August 9, 2010
KEYBANC CAPITAL MARKETS INC.
February 18, 1999 - December 5, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 24, 1997 - February 1, 1999
BANC ONE CAPITAL MARKETS, INC.
June 21, 1993 - December 4, 1997
FITZGERALD, DAVIS & ASSOCIATES, L.P.
September 8, 1989 - July 9, 1993
BERNARDI SECURITIES, INC.
September 8, 1987 - August 26, 1989
CRONIN & CO., INC.
June 9, 1982 - September 8, 1987
CROAKE ROBERTS, INC.
October 21, 1975 - July 20, 1977
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
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 00
Date: 10/17/1975
General Securities Principal ExaminationCurrent Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
