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MS

Mary C. Shouse

RIDGEBACK SECURITIES, LTD
Houston, TX 77002-8841
Some features on this profile are disabled
CRD#: 1936648
MS

Professional summary

Mary Catherine Shouse, who also goes by Mary Catherine Mclennan, Mary Shouse, Polly Shouse, Mary Catherine White, is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas.

Mary is registered as a RR (Registered Representative) and started their career in finance in 2004. Mary has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Catherine Mclennan | Mary Shouse | Polly Shouse | Mary Catherine White

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) - BD

Click below to view Mary Catherine Shouse'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

April 25, 2013 - Present

RIDGEBACK SECURITIES, LTD

Office #1: 1218 Webster Street, Houston, TX 77002-8841
BD
CRD#: 120448
Houston, TX
Past

April 7, 2011 - December 18, 2012

CHILTON CAPITAL MANAGEMENT ADVISORS INC.

RIA
CRD#: 112497
HOUSTON, TX
Past

April 7, 2011 - November 6, 2020

CHILTON CAPITAL MANAGEMENT LLC

RIA
CRD#: 104592
HOUSTON, TX
Past

May 12, 2010 - April 4, 2011

SII INVESTMENTS, INC.

RIA
CRD#: 2225
HOUSTON, TX
Past

April 13, 2010 - April 4, 2011

SII INVESTMENTS, INC.

BD
CRD#: 2225
HOUSTON, TX
Past

July 2, 2007 - May 8, 2008

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
BOSTON, MA
Past

December 13, 2005 - July 2, 2007

MELLON FUNDS DISTRIBUTOR, L.P.

BD
CRD#: 39414
BOSTON, MA
Past

July 6, 2004 - December 31, 2005

MBSC, LLC

BD
CRD#: 42430
NEW YORK, NY

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
Texas
(4/25/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/7/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/14/1989
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 10/2/1996
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RIDGEBACK SECURITIES, LTD
MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.

CRD#: 120448 / SEC#: , 8-65298

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1218 Webster Street, Houston, TX 77002-8841
Mailing Address
1218 Webster Street, Houston, TX 77002-8841
Phone number
(713) 289-6200
Established
Texas since 04/01/2002
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE RIDGEBACK GROUP, LLCLIMITED PARTNER
CAPITAL FINANCIAL GROUP, INC.LIMITED PARTNER
BRISTOW, BRIAN BRUCECHIEF OPERATING OFFICER3151921
CONNOLLY, BRENDAN MACKEYCHIEF COMPLIANCE OFFICER4352883
MCSALGP, LLCGENERAL PARTNER
VANPELT, WILLIAM HENRY IVPRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER1716622

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

RIDGEBACK SECURITIES, LTD

CRD#: 120448Houston, TX 77002-8841

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