Mary K. Troxell

TURNING POINT FINANCIAL

Frederick, MD 21703

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CRD#: 1850750

Professional summary

Mary Kathleen Troxell, who also goes by Mary Kathleen Floria, Mary Kathleen Gmeiner, Mary K Gmeiner, Kathy Troxell, is a registered financial advisor currently at TURNING POINT FINANCIAL located in Frederick, Maryland.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Mary has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Kathleen Floria | Mary Kathleen Gmeiner | Mary K Gmeiner | Kathy Troxell

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.

1) MARY KATHLEEN TROXELL, LLC; FREDERICK, MD; 01/1994; FIXED INSURANCE SALES, WHICH SOMETIMES ARE USED WITH CLIENTS OF THE BROKER/DEALER OR RIA. THIS INVOLVES PRIMARILY LIFE INSURANCE (TERM AND UL), LONG TERM CARE INSURANCE, AND FIXED ANNUITIES; 2HR/WK - 2/TRADING; INVESTMENT-RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathleen Troxell's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 15, 2019 - Present

TURNING POINT FINANCIAL

Office #1: 7210 Corporate Ct. Ste A, Frederick, MD 21703

RIA

CRD#: 301282

Frederick, MD

Past

July 15, 2019 - January 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Frederick, MD

Past

January 17, 2013 - July 23, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FREDERICK, MD

Past

January 17, 2013 - July 23, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FREDERICK, MD

Past

April 16, 2007 - February 1, 2013

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

FREDERICK, MD

Past

September 14, 2005 - February 1, 2013

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

FREDERICK, MD

Past

August 8, 2003 - September 14, 2005

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

July 15, 1988 - August 11, 2003

THE HOUSE OF SECURITIES COMPANY

CRD#: 2236

FREDERICK, MD

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".

TURNING POINT FINANCIAL

TURNING POINT BENEFIT GROUP, INC. | TURNING POINT FINANCIAL

CRD#: 301282 / SEC#: 801-116895

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(7/15/2019)

IAR

Texas
(3/20/2023)

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

State Security Law Exam

IAR

Series 65

Date: 4/13/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TURNING POINT FINANCIAL

TURNING POINT BENEFIT GROUP, INC. | TURNING POINT FINANCIAL

CRD#: 301282 / SEC#: 801-116895

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

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Contact information

Main Address

7210 Corporate Ct. Ste A, Frederick, MD 21703

Mailing Address

Phone number

(301) 846-9336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- TURNING POINT FINANCIAL (3/17/2025)

Regulatory assets under management

Total Number of Accounts	2,659
AUM (Assets Under Management)	$ 383,146,200

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.

Contact information

xxxxx@xxxx.xxx

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Mary K. Troxell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathleen Troxell's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

SII INVESTMENTS, INC.

THE HOUSE OF SECURITIES COMPANY

Primary Firm SEC Registration

TURNING POINT FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2007

Series 63

Date: 3/9/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2012

Series 6

Date: 7/14/1988

Current Firm

TURNING POINT FINANCIAL

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TURNING POINT FINANCIAL

TRUST BUT VERIFY

Contact information

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