Mary L. Gibbons

RIA ADVISORY GROUP

DES MOINES, IA 50309

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CRD#: 2049282

Professional summary

Mary Louise Gibbons, who also goes by Mary Fischenich, Mary Louise Johnson, Mary Johnson, is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Des Moines, Iowa.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Mary has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Fischenich | Mary Louise Johnson | Mary Johnson

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) 04/12/2012: TREND FINANCIAL INVESTMENT GUIDANCE - INV REL - AT REPORTED BUSINESS LOCATION(S)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Louise Gibbons'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

March 1, 2019 - Present

RIA ADVISORY GROUP, LLC

Office #1: 500 Sw 7th Street Suite 204, Des Moines, IA 50309

RIA

CRD#: 152566

DES MOINES, IA

Past

August 8, 2014 - March 5, 2019

BALEFIRE, LLC

RIA

CRD#: 168733

AMES, IA

Past

September 24, 2003 - October 28, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST DES MOINES, IA

Past

September 24, 2003 - March 27, 2019

LPL FINANCIAL LLC

CRD#: 6413

WEST DES MOINES, IA

Past

April 4, 2001 - October 3, 2003

PIPER SANDLER & CO.

RIA

CRD#: 665

AMES, IA

Past

September 22, 2000 - October 3, 2003

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

July 23, 1997 - September 29, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 23, 1991 - December 16, 1992

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

May 1, 1990 - August 5, 1991

NEW ENGLAND SECURITIES

CRD#: 615

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".

RIA ADVISORY GROUP, LLC

CRD#: 152566 / SEC#: 801-117837

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Iowa

Registered Investment Advisory firm - (1/2/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (1/6/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/2/2020 Terminated)

Nevada

Registered Investment Advisory firm - (2/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Iowa
(3/1/2019)

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: 2/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/30/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/13/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/5/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

RIA ADVISORY GROUP, LLC

CRD#: 152566 / SEC#: 801-117837

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Iowa

Registered Investment Advisory firm - (1/2/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (1/6/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/2/2020 Terminated)

Nevada

Registered Investment Advisory firm - (2/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2020 Terminated)

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Contact information

Main Address

500 Sw 7th Street Suite 204, Des Moines, IA 50309

Mailing Address

Phone number

(515) 965-8588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A CLIENT BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	3,009
AUM (Assets Under Management)	$ 456,517,836

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.

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Mary L. Gibbons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Louise Gibbons's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALEFIRE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PIPER SANDLER & CO.

PIPER SANDLER & CO.

EDWARD JONES

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

RIA ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2001

Series 63

Date: 8/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/22/1997

Series 6

Date: 4/30/1990

Series 10

Date: 3/13/2001

Series 9

Date: 3/5/2001

Current Firm

RIA ADVISORY GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORY GROUP, LLC

TRUST BUT VERIFY

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