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Vickie D. Colwell

MAPLEWOOD INVESTMENTS
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 2285056
VC

Professional summary

Vickie Dallene Colwell is a registered financial professional currently at MAPLEWOOD INVESTMENTS, INC. located in Dallas, Texas.

Vickie is registered as a RR (Registered Representative) and started their career in finance in 2005. Vickie has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Vickie Dallene Colwell'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

May 31, 2017 - Present

MAPLEWOOD INVESTMENTS, INC.

Office #1: 12222 Merit Dr Suite 1390, Dallas, TX 75251
BD
CRD#: 103723
Dallas, TX
Past

April 1, 2014 - May 2, 2016

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

June 14, 2012 - November 15, 2013

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

August 15, 2005 - August 1, 2012

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX

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
(5/31/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/9/2006
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: 8/13/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
MAPLEWOOD INVESTMENTS, INC.
MAPLEWOOD INVESTMENT ADVISORS, INC. | MAPLEWOOD INVESTMENTS, INC.

CRD#: 103723 / SEC#: , 8-52221

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

Main Address
12222 Merit Dr Suite 1390, Dallas, TX 75251
Mailing Address
12222 Merit Dr Suite 1390, Dallas, TX 75251
Phone number
(214) 739-5677
Established
Texas since 11/08/1999
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (31 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#
MAPLEWOOD HOLDINGS, LLCSOLE SHAREHOLDER
BESEK, CYNTHIA ELIZABETHSENIOR VICE-PRESIDENT/DIRECTOR/TREASURER(5/06)1669039
DOOLEY, DANIEL CLIFTONCEO/PRESIDENT/SROP/CROP/FINOP/DIRECTOR/MUNI PRIN1699483
MOORE, LAURIE MICHELECHIEF COMPLIANCE OFFICER2020784

Disclosures

Regulatory Event1

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

MAPLEWOOD INVESTMENTS, INC.

CRD#: 103723Dallas, TX 75251

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