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Detailed Report
MARY ANN CHIVERS
MARY ANN CLABAUGH, MARY ANN STULTS
CRD#: 2713500
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 101 E KENNEDY BLVD
PBIG - FLORIDA PWM TAMPA
TAMPA, FL 33602
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - Present (19 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2003 - 2006 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2003 (5 years)BJ.J.B. HILLIARD, W.L. LYONS, INC. (CRD# 453)1997 - 1999 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 9/4/2009
B
Nebraska 1/16/2009
B
Arizona 1/16/2009
B
Nevada 1/16/2009
B
California 1/16/2009
B
New Hampshire 1/15/2021
B
Colorado 1/16/2009
B
New Jersey 1/16/2009
B
Connecticut 1/16/2009
B
New Mexico 9/4/2009
B
Delaware 7/1/2011
B
New York 1/16/2009
B
District of Columbia 7/1/2011
B
North Carolina 1/21/2009
B
Florida 3/10/2006
B
Ohio 1/20/2009
IA
Florida 3/13/2006
B
Oregon 1/16/2009
B
Georgia 3/10/2006
B
Pennsylvania 1/16/2009
B
Illinois 1/16/2009
B
Rhode Island 1/16/2009
B
Indiana 1/16/2009
B
South Carolina 9/4/2009
B
Iowa 11/18/2022
B
Tennessee 3/24/2010
B
Kentucky 1/16/2009
B
Texas 9/4/2009
B
Louisiana 1/16/2009
IA
Texas 9/10/2009
B
Maryland 1/16/2009
B
Utah 1/16/2009
B
Massachusetts 1/16/2009
B
Vermont 5/2/2022
B
Michigan 1/16/2009
B
Virginia 1/16/2009
B
Minnesota 1/16/2009
B
Washington 9/4/2009
B
Mississippi 9/4/2009
B
West Virginia 1/15/2020
B
Missouri 1/16/2009
B
Wisconsin 7/1/2011
B
Montana 2/2/2018

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
101 E KENNEDY BLVD PBIG - FLORIDA PWM TAMPA, TAMPA, FL 33602
Registered with this firm since 3/13/2006
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
101 E KENNEDY BLVD PBIG - FLORIDA PWM TAMPA, TAMPA, FL 33602
Registered with this firm since 3/10/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/28/2005 - 02/23/2006 A. G. EDWARDS & SONS, INC. (CRD#:4) CLEARWATER, FL
B
 09/22/2003 - 02/23/2006 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 10/19/1998 - 11/22/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 09/09/1997 - 04/30/1999 J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453) LOUISVILLE, KY
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.