Mary E. Spurrier
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 Eileen Spurrier, who also goes by Mary Dickman, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1977. Mary had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 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
February 16, 1995 - October 11, 2023
CADARET, GRANT & CO., INC.
March 11, 1992 - February 15, 1995
ESSEX CAPITAL MARKETS, INC.
December 24, 1990 - February 27, 1992
CITICORP FINANCIAL SERVICES,INC.
September 20, 1990 - February 27, 1992
CITICORP INVESTMENT SERVICES
April 11, 1988 - October 11, 1990
LEHMAN BROTHERS INC.
July 20, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - August 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
