Mary Carruthers, financial advisor Redlands CA
86 score

Mary Carruthers

CRD Number: 1240374
Current Firm: Stifel, Nicolaus & Company, Incorporated

Mary Carruthers (CRD# 1240374) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Redlands, CA and has over 32 years of experience in the finance industry. Mary Carruthers has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Redlands, CA Aug 2009 - Current 7
Wachovia Securities, LLC Riverside, CA Jan 2008 - Aug 2009 1
Wachovia Securities, LLC Riverside, CA Jan 2008 - Aug 2009 1
A. G. Edwards & Sons, Inc. Riverside, CA Dec 1989 - Aug 2009 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1984
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Mary Carruthers
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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