Mary E. Poggi
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 Elizabeth Poggi, who also goes by Mary Beth Doherty, Mary Elizabeth Doherty, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1987. Mary had worked at 4 firms and has passed the Series 63, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2013 - April 12, 2018
ALPHA OMEGA WEALTH MANAGEMENT, LLC
October 2, 1996 - August 19, 1999
CANACCORD GENUITY SECURITIES LLC
January 28, 1994 - September 17, 1996
CITIGROUP GLOBAL MARKETS INC.
September 24, 1987 - August 21, 1991
ANDERSON & STRUDWICK, INCORPORATED
Primary Firm SEC Registration
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842 / SEC#: 801-70136
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 8
Date: 3/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842 / SEC#: 801-70136
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,282 |
| AUM (Assets Under Management) | $ 905,828,765 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/08/2025 | ||
| 07/29/2024 | ||
| 07/31/2023 | ||
| 12/28/2022 |
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.
