• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
MARY H GOESEL
Kate Goesel, Mary H Goesel, Mary Haviland Goesel, KATE HAVILAND, MARY CATHERINE HAVILAND…
CRD#: 4524675
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 150 S. Wacker Drive
Chicago, IL 60606-4111
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2017 (6 years)2 FIRMS2017 - 2020 (3 years)2 FIRMS2021 - Present (3 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2006 (2 years)BBACAP DISTRIBUTORS, LLC (CRD# 46088)2003 - 2005 (2 years)BSTEPHENS INC. (CRD# 3496)2003 - 2003 (<1 year)IAFACET WEALTH, INC (CRD# 285961)2021 - 2021 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2006 (2 years)
License(s)

State Registrations

B
Illinois 9/13/2021

IA
Illinois 9/13/2021

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
150 S. Wacker Drive, Chicago, IL 60606-4111
FLOSSMOOR, IL
Registered with this firm since 9/13/2021

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
150 S. Wacker Drive, Chicago, IL 60606-4111
FLOSSMOOR, IL
Registered with this firm since 9/13/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/21/2021 - 08/06/2021 FACET WEALTH, INC (CRD#:285961) Flossmoor, IL
IA
05/04/2017 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) CHICAGO, IL
B
05/04/2017 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) CHICAGO, IL
IA
06/22/2010 - 04/11/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
06/21/2010 - 04/11/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
IA
11/06/2009 - 04/09/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOSTON, MA
B
10/23/2009 - 04/09/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOSTON, MA
IA
04/11/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
04/02/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
02/11/2004 - 04/27/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
10/03/2003 - 04/27/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
01/01/2003 - 03/29/2005 BACAP DISTRIBUTORS, LLC (CRD#:46088) CHARLOTTE, NC
B
01/02/2003 - 01/01/2003 STEPHENS INC. (CRD#:3496) LITTLE ROCK, AR
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.