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Mary Diane Esser

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Information

Firm:
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Type: Dual Registration
Description

Mary Esser is an owner of Cressman Esser Securities, Inc., a broker-dealer with 3 registered representatives Illinois. Mary is also registered with Cressman Esser Investment Advisors, Inc., a $24M RIA based in Naperville, IL. Mary has held an industry securities registration for 31 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Cressman Esser Securities, Inc. 21 years, 11 months Sep 1992 - Present
Exams
ExamSeriesPassed Date
Registered Options Principal ExaminationSeries 4 04/26/1985
Municipal Securities Principal ExaminationSeries 53 04/23/1985
General Securities Principal ExaminationSeries 24 01/17/1985
Uniform Securities Agent State Law ExaminationSeries 63 02/11/1982
General Securities Representative ExaminationSeries 7 02/21/1981

Answers and Guides

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Top Answers

Mary Diane Esser has not answered any questions on Financial Q&A.

Top Guides

Mary Diane Esser has not contributed any Financial Guides.
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Firm Client Types

Individuals
High Net Worth Individuals

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
12/21/2011
08/10/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets