Mary K. Margolis

MBR FINANCIAL

Houston, TX 77027

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CRD#: 2203255

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Kathryn Banic | Mary Banic Margolis

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. MDMT ENTERPRISES. OPI, YES, 3525 ALBANS HOUSTON, TX 77005, PARTNER, 2000, 1, 1, GENERAL PARTNER OF MDMT. THE LIMITED PARTNERSHIP WAS CREATED FOR INVESTMENT PURPOSES. 2. OLG RESOURCES, YES, 3525 ALBANS HOUSTON, TX 77005, PARTNER, 2000, 1, 1, AGENT OF RECORD FOR PURPOSES OF CORRESPONDENCE WITH THE IRS. I MANAGE THE INVESTMENTS WITHIN THE PARTNERSHIP. 3. MBR FINANCIAL, INSURANCE SALES, INVESTMENT RELATED, 2000 WEST LOOP SOUTH, SUITE 1510, HOUSTON TX, 03/2010,10 HRS, SALES AND SERVICE OF INSURANCE PRODUCTS. 4) MARGOLIS- CANINO FOUNDATION- OFFICER. PRIVATE FAMILY FOUNDATION. INVESTMENT IN PUBLICLY TRADED SECURITIES AND MUTUAL FUNDS. 1 HR/MO. 5) AV BAYOU PARK, LLC. OPI. 2013. PRIVATE ENTITY. 6) PKS FINANCIAL SERVICES; INVESTMENT RELATED 18 CORPORATE WOODS BLVD ALBANY, NY 12211; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 11/22/13

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathryn Margolis'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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

July 29, 2013 - Present

MBR FINANCIAL

Office #1: 2000 West Loop South Suite 1510, Houston, TX 77027

RIA

CRD#: 168333

Houston, TX

Past

September 27, 2013 - August 29, 2014

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

HOUSTON, TX

Past

March 15, 2010 - October 1, 2013

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

July 5, 2005 - March 8, 2010

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

March 31, 2003 - October 1, 2013

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

Past

June 13, 1996 - July 24, 2003

OSAIC WEALTH, INC.

RIA

CRD#: 23131

HOUSTON, TX

Past

June 13, 1996 - July 24, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 30, 1992 - June 7, 1996

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

MBR FINANCIAL

MARGOLIS BRADY RAGHAVAN FINANCIAL, INC. | MBR FINANCIAL

CRD#: 168333 / SEC#: 801-78364

RIA

Registered Investment Advisory firm - (7/29/2013 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

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 6/27/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/3/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/28/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/26/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/7/1996

General Securities Principal Examination

Current Firm

MBR FINANCIAL

MARGOLIS BRADY RAGHAVAN FINANCIAL, INC. | MBR FINANCIAL

CRD#: 168333 / SEC#: 801-78364

RIA

Registered Investment Advisory firm - (7/29/2013 Approved)

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Contact information

Main Address

2000 West Loop South Suite 1510, Houston, TX 77027

Mailing Address

Phone number

(832) 667-8787

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MBR 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,396
AUM (Assets Under Management)	$ 868,165,834

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 K. Margolis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathryn Margolis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

FSC SECURITIES CORPORATION

PNC MANAGED ACCOUNT SOLUTIONS, INC.

FSC SECURITIES CORPORATION

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

MBR FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2003

Series 63

Date: 2/3/1992

Series 7

Date: 1/28/1992

Series 53

Date: 8/26/2003

Series 24

Date: 8/7/1996

Current Firm

MBR FINANCIAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MBR FINANCIAL

TRUST BUT VERIFY

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