Mary G. Hogan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Gist Hogan, who also goes by Mary Frances Gist, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1974. Mary had worked at 7 firms and has passed the Series 65, SIE, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - January 19, 2022
VIEW CAPITAL RIA, LP
September 24, 2004 - June 29, 2018
VCA SECURITIES, LP
January 13, 2001 - July 15, 2004
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - July 15, 2004
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
July 3, 1978 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 15, 1975 - July 10, 1978
WHITE, WELD & CO. INCORPORATED
October 3, 1974 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
Primary Firm SEC Registration
VIEW CAPITAL RIA, LP
CRD#: 130678 / SEC#: 801-62983
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/24/1974
Registered Representative ExaminationSeries 8
Date: 7/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VIEW CAPITAL RIA, LP
CRD#: 130678 / SEC#: 801-62983
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 169 |
| AUM (Assets Under Management) | $ 1,774,409,102 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/18/2023 | ||
| 09/28/2022 |
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.
