Marjanne K. Masterman
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.
Marjanne Kae Masterman, who also goes by Marjanne K Lauritsen, was a registered financial professional .
Marjanne is a previously registered financial professional and started their career in finance in 1979. Marjanne had worked at 6 firms and has passed the Series 63, Series 7, Series 8, Series 4 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
December 19, 2012 - June 29, 2021
UNITED CAPITAL FINANCIAL ADVISORS
January 24, 2001 - April 1, 2013
PARAGON INVESTMENT MANAGEMENT INC
August 12, 1992 - December 31, 1993
MOMENTUM INDEPENDENT NETWORK INC.
May 29, 1986 - April 27, 1992
SEAFIRST INVESTMENT SERVICES, INC.
April 8, 1985 - April 29, 1985
FIDELITY DISTRIBUTORS CORPORATION
February 13, 1985 - March 1, 1985
FIDELITY DISTRIBUTORS CORPORATION
June 21, 1979 - April 15, 1983
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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 8
Date: 8/5/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
