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Detailed Report
MARY A MAAG
MARY ANN KELLY, KELLY MAAG, MARY KELLY MAAG
CRD#: 1411280
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 6037 LA FLECHA
SUITE 200
RANCHO SANTA FE, CA 92067
Registration History
199019952000200520102015202020252 FIRMS2002 - 2009 (7 years)2 FIRMS2009 - Present (15 years)BROUND HILL SECURITIES, INC. (CRD# 35223)1999 - 2001 (1 year)BCORPORATE SECURITIES GROUP, INC. (CRD# 11025)1999 - 1999 (<1 year)BEVEREN SECURITIES, INC. (CRD# 19616)1996 - 1999 (2 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1991 (<1 year)BSUTRO & CO. INCORPORATED (CRD# 801)1986 - 1987 (1 year)
License(s)

State Registrations

B
Alabama 12/1/2011
B
Minnesota 5/21/2018
B
Arizona 6/1/2009
B
Missouri 4/26/2018
B
California 6/1/2009
B
Montana 8/23/2017
IA
California 6/1/2009
B
Nevada 6/1/2009
B
Colorado 6/1/2009
B
New Jersey 12/1/2011
B
Connecticut 6/1/2009
B
New Mexico 6/1/2009
B
District of Columbia 4/23/2015
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 1/26/2016
B
Georgia 6/1/2009
B
Oklahoma 6/1/2009
B
Hawaii 12/1/2011
B
Oregon 12/20/2017
B
Idaho 8/27/2018
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 1/24/2022
B
Indiana 7/28/2015
B
Tennessee 7/24/2012
B
Iowa 4/26/2018
B
Texas 6/1/2009
B
Kansas 8/3/2020
IA
Texas 2/11/2014
B
Kentucky 6/1/2009
B
Utah 6/1/2009
B
Louisiana 3/6/2015
B
Vermont 1/13/2025
B
Maine 4/6/2017
B
Virgin Islands 10/5/2012
B
Maryland 7/25/2012
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 9/26/2018
B
Wyoming 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
6037 LA FLECHA SUITE 200, RANCHO SANTA FE, CA 92067
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
6037 LA FLECHA SUITE 200, RANCHO SANTA FE, CA 92067
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 03/12/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RANCHO SANTA FE, CA
B
 03/01/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RANCHO SANTA FE, CA
B
 12/10/1999 - 10/10/2001 ROUND HILL SECURITIES, INC. (CRD#:35223) ALAMO, CA
B
 05/10/1999 - 12/10/1999 CORPORATE SECURITIES GROUP, INC. (CRD#:11025) ST. LOUIS, MO
B
 08/30/1996 - 05/20/1999 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 07/31/1993 - 09/03/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 04/23/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 11/21/1990 - 03/26/1991 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/23/1986 - 10/10/1987 SUTRO & CO. INCORPORATED (CRD#:801)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.