Mary E. Suplee
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 Elaine Suplee, who also goes by Mary Elaine Burns, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2022 - April 11, 2025
APELLA WEALTH
February 27, 2018 - November 16, 2022
STRUCTURED ASSET MANAGEMENT, INC.
April 4, 1985 - November 15, 1990
DISCOUNT CORPORATION OF NEW YORK FUTURES
Primary Firm SEC Registration
APELLA WEALTH
CRD#: 171106 / SEC#: 801-79650
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
Series 15
Date: 5/21/1984
Foreign Currency Options ExaminationCurrent Firm
APELLA WEALTH
CRD#: 171106 / SEC#: 801-79650
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,172 |
| AUM (Assets Under Management) | $ 7,953,076,688 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 03/29/2024 | ||
| 04/30/2023 |
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.
