Mary K. Powers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Kathleen Powers, who also goes by Mary Kathleen Marsalek, Mary K Porrovicchio, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2011 - July 18, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 17, 2011 - July 18, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - June 20, 2011
MORGAN STANLEY
June 1, 2009 - June 20, 2011
MORGAN STANLEY
October 3, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 3, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 21, 2006 - September 20, 2007
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - September 20, 2007
CITIGROUP GLOBAL MARKETS INC.
June 17, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
June 17, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
April 14, 2003 - June 18, 2004
OSAIC FA, INC.
April 14, 2003 - June 18, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 14, 2003 - June 18, 2004
OSAIC FA, INC.
May 2, 2001 - October 4, 2002
LEGG MASON WOOD WALKER, INCORPORATED
January 9, 2001 - October 4, 2002
LEGG MASON WOOD WALKER, INCORPORATED
August 20, 1986 - April 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1985 - August 1, 1986
A. G. EDWARDS & SONS, INC.
July 5, 1984 - September 10, 1985
MORGAN STANLEY DW INC.
April 18, 1984 - October 1, 1984
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
