Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Carroccia is a financial professional with over 20 years of experience in the industry. She is currently registered with Stifel, Nicolaus & Company, Inc. and has previously worked with Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Mary is a licensed securities professional with several certifications, including Series 7, 9, 10, 63, and SIE. Mary's specializations include providing financial planning, pension consulting, educational seminars, and portfolio management services to individuals, businesses, and pooled investment vehicles.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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
04/27/2012 - Present
Stifel, Nicolaus & Company, Inc. (MADISON CT)
CT
06/01/2009 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (MADISON CT)
CT
07/29/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GUILFORD CT)
BC
Issued 02/28/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/04/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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