MA
Mari Allen
CALDWELL SUTTER CAPITAL
Shoreline, WA
Some features on this profile are disabled
CRD#: 1705748
MA
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 professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mari Ming Hwa Allen | Mari Allen Fu | Mari Ming Hwa Fu | Mari Minghwa Fu | Mari Fu
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.
CRS (Client Relationship Summary) - BD
Click below to view Mari Allen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 7, 2017 - Present
CALDWELL SUTTER CAPITAL, INC.
RIA
BD
CRD#: 10489
Shoreline, WA
Past
November 5, 2010 - July 31, 2017
SUTTER SECURITIES INCORPORATED
BD
CRD#: 30770
SEATTLE, WA
Past
February 1, 1995 - November 10, 2010
MORTON CLARKE INC.
BD
CRD#: 37182
SEATTLE, WA
Past
January 28, 1995 - April 18, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 7, 1987 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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".
CS
CALDWELL SUTTER CAPITAL, INC.
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
RIA
Registered Investment Advisory firm - SEC (2/8/2006 Approved)California
Registered Investment Advisory firm - SEC (2/10/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/25/2021)
RR
California(7/28/2017)
RR
Colorado(4/9/2021)
RR
Connecticut(8/4/2017)
RR
Florida(2/25/2021)
RR
Maine(7/21/2022)
RR
Massachusetts(12/7/2017)
RR
Michigan(4/14/2021)
RR
Missouri(8/23/2017)
RR
Nevada(7/21/2022)
RR
New Jersey(7/28/2017)
RR
New York(7/28/2017)
RR
North Carolina(1/7/2025)
RR
Ohio(7/22/2022)
RR
Oregon(7/31/2017)
RR
South Carolina(7/21/2022)
RR
South Dakota(10/8/2019)
RR
Tennessee(8/27/2024)
RR
Utah(7/21/2022)
RR
Virginia(7/31/2017)
RR
Washington(7/7/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CALDWELL SUTTER CAPITAL, INC.
CALDWELL SECURITIES, INC | CALDWELL SUTTER CAPITAL, INC. | CALDWELL SECURITIES, INCORPORATED | CALDWELL SECURITIES, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
RIA
Registered Investment Advisory firm - SEC (2/8/2006 Approved)California
Registered Investment Advisory firm - SEC (2/10/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
30 Liberty Ship Way #3225, Sausalito, CA 94965
Mailing Address
Po Box 190, Sausalito, CA 94966-0190
Phone number
(415) 962-2526
Established
California since 02/16/1982
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
20
SEC notice filing (10 States and Territories)
FINRA licenses (46 States and Territories)
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 | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 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 | 1,225 |
| AUM (Assets Under Management) | $ 571,092,070 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 | ||
| 11/29/2022 |
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.
