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MARIA ROSE MAHON
MARIA ROSE FIGLIOMENI
CRD#: 2540506
IA
B
MORGAN STANLEYCRD#: 149777 1212 Troy Schenectady Road
Latham, NY 12110
Latham, NY 12110
0
Disclosures
23
Years of Experience
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State Registrations
B
Alabama 9/11/2024
B
New Hampshire 4/4/2019
B
Arizona 6/1/2009
B
New Jersey 12/9/2010
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/21/2018
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New York 6/16/2021
B
Connecticut 6/1/2009
B
North Carolina 6/1/2009
B
Delaware 3/23/2022
B
Oklahoma 6/1/2009
B
District of Columbia 1/19/2018
B
Oregon 4/4/2019
B
Florida 6/1/2009
B
Pennsylvania 12/9/2010
B
Georgia 8/7/2014
B
Rhode Island 6/15/2009
B
Hawaii 5/20/2013
B
South Carolina 12/13/2016
B
Illinois 2/11/2011
B
Tennessee 9/16/2013
B
Maine 3/28/2019
B
Texas 6/1/2009
B
Maryland 4/4/2019
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Texas 5/15/2020
B
Massachusetts 6/1/2009
B
Vermont 6/1/2009
B
Michigan 2/14/2018
B
Virginia 7/14/2016
B
Missouri 4/4/2019
B
Washington 10/4/2018
B
Montana 5/23/2019
B
West Virginia 4/4/2019
B
Nevada 8/20/2024
B
Wisconsin 4/4/2019
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/15/2020
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/03/2005 - 06/01/2009 | ALBANY, NY | |
B | 05/10/2001 - 05/26/2005 | WEEHAWKEN, NJ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.