Mari Allen
Professional Summary
Mari Allen, who also goes by Mari Ming Hwa Allen, Mari Allen Fu, Mari Ming Hwa Fu, Mari Minghwa Fu, Mari Fu, is a registered financial advisor currently at CALDWELL SUTTER CAPITAL, INC. located in Shoreline, Washington. Mari is registered as a RR (Registered Representative) and started their career in finance in 1987. Mari has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mari Ming Hwa Allen, Mari Allen Fu, Mari Ming Hwa Fu, Mari Minghwa Fu, Mari Fu
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
Contact Information
Main Address
30 Liberty Ship Way #3225, Sausalito, CA 94965Mailing Address
Po Box 190, Sausalito, CA 94966-0190Phone Number
(415) 962-2526Established
California since 02/16/1982Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
17SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HELMER FAMILY TRUST DATED 3/8/2022 | SHAREHOLDER | — |
| JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 | SHAREHOLDER | — |
| ALLEN, MARI | MANAGING DIRECTOR | 1705748 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| DUCOTE, JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | 72548 |
| HELMER, JOHN CALDWELL | FOUNDER, TRUSTEE | 242398 |
| HELMER, JOSEPH FRANCIS | PRESIDENT, CO-TRUSTEE | 1860949 |
| HELMER, KATHLEEN REILLY | DIRECTOR, TRUSTEE | 6613066 |
| METCALF, SUSAN DIANE | MANAGING DIRECTOR | 1547365 |
Regulatory Assets Under Management
Total Number of Accounts
1,249AUM (Assets Under Management)
$605,675,350Disclosures
Regulatory Event
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/02/2026 | Cover Page | Report |
| 04/10/2025 | Cover Page | Report |
| 03/25/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
State Registrations and Notice Filings
(2/25/2021)
(7/28/2017)
(4/9/2021)
(8/4/2017)
(2/25/2021)
(7/21/2022)
(12/7/2017)
(4/14/2021)
(8/23/2017)
(7/21/2022)
(7/28/2017)
(7/28/2017)
(1/7/2025)
(7/22/2022)
(7/9/2026)
(7/31/2017)
(7/21/2022)
(10/8/2019)
(8/27/2024)
(7/21/2022)
(7/31/2017)
(7/7/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mari Allen's CRS (Customer Relationship Summary).
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