Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Katherine Tooley is a registered representative with Charles Schwab & CO., Inc. Mary Katherine Tooley has been in the securities industry since 2004. Mary Katherine Tooley is licensed to provide securities advice in 45 states and the District of Columbia. Mary Katherine Tooley previously worked at TD Ameritrade, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Mary Katherine Tooley has passed the Series 66, Series 10, Series 9, SIE and Series 7 exams. Mary Katherine Tooley is a specialist in securities and investment advisory services.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
FL
09/29/2010 - Present
Charles Schwab & CO., Inc. (Jacksonville FL)
FL
06/16/2022 - 12/31/2023
TD AMERITRADE, INC. (Jacksonville FL)
FL
06/01/2009 - 04/28/2010
MORGAN STANLEY SMITH BARNEY (ORMOND BEACH FL)
FL
06/02/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ORMOND BEACH FL)
NY
05/07/2004 - 05/18/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/13/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/27/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/10/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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