Mary K. Simonson
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 Kathryn Simonson, who also goes by Mary Kathryn Nixon, Mary Simonson, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 26 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2025 - April 23, 2026
LPL FINANCIAL LLC
November 13, 2024 - October 1, 2025
GROVE POINT INVESTMENTS, LLC
April 5, 2023 - October 1, 2025
SCF SECURITIES, INC.
April 5, 2023 - October 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
April 5, 2023 - October 13, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
April 5, 2023 - December 9, 2025
NEXT FINANCIAL GROUP, INC.
April 5, 2023 - December 9, 2025
CUSO FINANCIAL SERVICES, L.P.
April 5, 2023 - December 9, 2025
CADARET, GRANT & CO., INC.
April 6, 2022 - February 1, 2023
FENNEL
May 30, 2012 - January 27, 2020
OSAIC WEALTH, INC.
May 30, 2012 - January 27, 2020
FSC SECURITIES CORPORATION
September 16, 2010 - January 27, 2020
OSAIC SERVICES, INC.
April 12, 2010 - September 7, 2010
CETERA INVESTMENT SERVICES LLC
February 9, 2009 - March 16, 2009
PLANMEMBER SECURITIES CORPORATION
November 5, 2004 - February 1, 2007
WAMU INVESTMENTS, INC.
February 13, 2002 - May 1, 2002
DIME SECURITIES, INC.
July 28, 1999 - February 14, 2003
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 12, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - October 12, 2004
WAMU INVESTMENTS, INC.
July 3, 1997 - August 20, 1997
PRINCIPAL FUNDS DISTRIBUTOR, INC.
July 17, 1996 - July 14, 1997
ASB FINANCIAL SERVICES
July 27, 1994 - August 23, 1995
CHEMICAL INVESTMENT SERVICES CORP.
March 2, 1994 - July 25, 1994
IFMG SECURITIES, INC.
July 31, 1993 - March 7, 1994
CITIGROUP GLOBAL MARKETS INC.
September 11, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
May 12, 1989 - October 19, 1989
ALISON, BAER SECURITIES INC.
August 24, 1988 - January 9, 1989
GUARDIAN INTERNATIONAL SECURITIES CORP.
August 21, 1984 - July 15, 1988
GREENTREE SECURITIES CORP.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 12/26/2025
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
