Mary Kathryn Margolis
CFP®Professional Summary
Mary Kathryn Margolis, CFP®, who also goes by Mary Kathryn Banic, Mary Banic Margolis, is a registered financial advisor currently at MBR FINANCIAL located in Houston, Texas. Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mary has worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mary Kathryn Banic, Mary Banic Margolis
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MARGOLIS BRADY RAGHAVAN FINANCIAL, INC. | MBR FINANCIAL
Contact Information
Main Address
2000 West Loop South Suite 1510, Houston, TX 77027Phone Number
(832) 667-8787# of Employees
10SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
1,516AUM (Assets Under Management)
$956,390,510Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MARGOLIS BRADY RAGHAVAN FINANCIAL, INC. | MBR FINANCIAL
State Registrations and Notice Filings
(7/29/2013)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Mary Kathryn Margolis's CRS (Customer Relationship Summary).
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