Mary E. Briggs-ficks
Professional summary
Mary Elizabeth Briggs-ficks, who also goes by Mary E Briggs, Mary Elizabeth Briggs, is a registered financial professional currently at CARL M. HENNIG, INC. located in Oshkosh, Wisconsin.
Mary is registered as a RR (Registered Representative) and started their career in finance in 1988. Mary has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 3, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Elizabeth Briggs-ficks's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2010 - Present
CARL M. HENNIG, INC.
Office #1: 206 North Main Street, Oshkosh, WI 54901November 29, 2001 - May 16, 2011
BRIGGS-FICKS SECURITIES, LLC
July 18, 2000 - November 29, 2001
FIRST MIDWEST SECURITIES, INC.
May 23, 1997 - July 17, 2000
SEGERDAHL & COMPANY, INC.
May 1, 1997 - May 23, 1997
SEGERDAHL & COMPANY, INC.
March 22, 1988 - May 2, 1997
MEGARIAN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2010)
(11/20/2012)
(10/1/2015)
(2/1/2013)
(6/24/2025)
(1/24/2018)
(7/11/2018)
(2/22/2013)
(11/3/2014)
(3/19/2012)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
CARL M. HENNIG, INC.
CRD#: 140 / SEC#: , 8-14509
Contact information
FINRA licenses (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 24,700,000 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Company Information
CARL M. HENNIG, INC.
CRD#: 140Oshkosh, WI 54901TRUST BUT VERIFY
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