Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary D Roland is a financial advisor with over 20 years of experience in the industry. Mary has been registered with Wells Fargo Clearing Services, LLC since 2016. Prior to this, Mary worked for a number of other firms, including Northwestern Mutual Investment Services, LLC, Westport Resources Investment Services, Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Mary holds Series 6, 7, 63 and 66 licenses. Mary is currently licensed in 27 states and her firm is headquartered in St. Louis, MO.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
03/16/2016 - Present
Wells Fargo Clearing Services, LLC (GREENWICH CT)
CT
06/26/2014 - 02/16/2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WESTPORT CT)
TX
07/13/2009 - 04/07/2014
WESTPORT RESOURCES INVESTMENT SERVICES, INC. (FT. WORTH TX)
CT
06/01/2009 - 06/26/2009
MORGAN STANLEY SMITH BARNEY (GREENWICH CT)
CT
06/29/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GREENWICH CT)
NY
11/03/2005 - 06/28/2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)
WI
02/03/2000 - 07/08/2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BOTH
Issued 03/01/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/02/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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