Mary Helen C. Mallett
Professional summary
Mary Helen Caprice Mallett was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mary Helen Caprice Mallett, who also goes by Caprice Mallett, Mary Helen Caprice Mallett, Maryhelen Caprice Mallett, Caprice Mallett-tatro, was a registered financial advisor .
Mary Helen is a previously registered financial advisor and started their career in finance in 1985. Mary Helen had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2011 - June 21, 2013
INDEPENDENT FINANCIAL GROUP, LLC
April 20, 2011 - June 21, 2013
INDEPENDENT FINANCIAL GROUP, LLC
September 14, 2010 - May 2, 2011
MORGAN STANLEY
September 3, 2010 - May 2, 2011
MORGAN STANLEY
September 6, 2005 - October 15, 2010
BILTMORE WEALTH ADVISERS, LLC
December 18, 2003 - December 19, 2006
FIRST ALLIED SECURITIES, INC.
December 17, 2003 - September 2, 2010
FIRST ALLIED SECURITIES, INC.
August 1, 2003 - December 18, 2003
WALNUT STREET SECURITIES, INC.
July 26, 2000 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
April 15, 1998 - December 31, 1999
VOYA FINANCIAL ADVISORS, INC.
March 3, 1998 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
May 29, 1990 - March 6, 1998
VOYA FINANCIAL ADVISORS, INC.
June 27, 1989 - May 11, 1992
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 26, 1988 - May 29, 1990
JOHN G. KINNARD AND COMPANY, INCORPORATED
July 1, 1987 - September 27, 1988
B. J. LEONARD AND COMPANY, INC.
February 27, 1987 - July 27, 1987
VOYA FINANCIAL ADVISORS, INC.
June 13, 1985 - December 5, 1986
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
