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MS

Mary F. Schott

CRD#: 1453429
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MS
Mary Frances Schott

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 Frances Schott, who also goes by Mary Frances Bock, Mimi Bock, Mary Frances Schott, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 1986. Mary had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Frances Bock | Mimi Bock | Mary Frances Schott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 12, 2020 - May 4, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SAN DIEGO, CA
Past

March 14, 2018 - March 23, 2018

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
SAN DIEGO, CA
Past

March 14, 2018 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
SAN DIEGO, CA
Past

March 14, 2018 - May 4, 2021

CETERA ADVISORS LLC

RIA
CRD#: 10299
SAN DIEGO, CA
Past

March 14, 2018 - May 4, 2021

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

March 14, 2018 - May 4, 2021

CETERA ADVISORS LLC

BD
CRD#: 10299
SAN DIEGO, CA
Past

January 11, 2017 - November 20, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

July 9, 2012 - November 20, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

June 19, 2012 - December 31, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

June 1, 2009 - January 12, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CHARLOTTE, NC
Past

June 1, 2009 - January 12, 2011

MORGAN STANLEY

BD
CRD#: 149777
CHARLOTTE, NC
Past

June 23, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHARLOTTE, NC
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHARLOTTE, NC
Past

March 20, 2006 - January 19, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 31, 1991 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 20, 1986 - March 21, 1990

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

March 31, 1986 - June 10, 1986

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

February 19, 1986 - March 27, 1986

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/19/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/8/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/5/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/26/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/5/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/5/2024
General Securities Sales Supervisor - Options Module Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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