Mary L. Ubik

WILLIAM BLAIR

Chicago, IL 60606

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CRD#: 2547616

Professional summary

Mary Lynn Ubik, CFP®, who also goes by Mary Lynn Klochan, Mary L Ubik, is a registered financial advisor currently at WILLIAM BLAIR located in Chicago, Illinois.

Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Mary has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

Aliases

Mary Lynn Klochan | Mary L Ubik

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) - RIA

Click below to view Mary Lynn Ubik's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mary Lynn Ubik'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: 2009

Experience

Current

March 7, 2007 - Present

WILLIAM BLAIR

Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606

RIA

CRD#: 1252

Chicago, IL

Current

September 11, 2000 - Present

WILLIAM BLAIR

Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606

RIA

CRD#: 1252

Chicago, IL

Past

February 10, 1998 - September 12, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

October 11, 1994 - January 21, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

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

Alaska
(11/11/2025)

Arizona
(2/18/2011)

California
(2/18/2011)

Colorado
(2/18/2011)

Connecticut
(2/18/2011)

Delaware
(11/11/2011)

District of Columbia
(2/18/2011)

Florida
(2/18/2011)

Georgia
(12/17/2013)

Idaho
(11/11/2011)

Illinois
(9/11/2000)

IAR

Illinois
(3/7/2007)

Indiana
(2/18/2011)

Iowa
(2/18/2011)

Kansas
(2/18/2011)

Kentucky
(2/18/2011)

Louisiana
(10/7/2015)

Maine
(12/5/2023)

Maryland
(2/18/2011)

Massachusetts
(2/18/2011)

Michigan
(2/18/2011)

Minnesota
(2/18/2011)

Missouri
(12/17/2013)

Montana
(2/18/2011)

Nebraska
(12/17/2013)

Nevada
(2/18/2011)

New Hampshire
(2/18/2011)

New Jersey
(2/18/2011)

New Mexico
(2/23/2011)

New York
(2/18/2011)

North Carolina
(2/22/2011)

Ohio
(2/22/2011)

Oregon
(2/18/2011)

Pennsylvania
(2/18/2011)

Rhode Island
(2/18/2011)

South Carolina
(2/18/2011)

Tennessee
(2/18/2011)

Texas
(2/18/2011)

Vermont
(4/22/2021)

Virginia
(2/18/2011)

Washington
(2/18/2011)

Wisconsin
(2/18/2011)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1994

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: 10/5/1994

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

The William Blair Building 150 North Riverside, Chicago, IL 60606

Mailing Address

The William Blair Building 150 North Riverside, Chicago, IL 60606-1594

Phone number

(312) 236-1600

Established

Delaware since 10/30/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

469

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILLIAM BLAIR FORM ADV PART 2A - APPENDIX 1 WRAP BROCHURE (8/14/2025)

WILLIAM BLAIR & COMPANY, L.L.C. FORM ADV 2A BROCHURE (8/14/2025)

WILLIAM BLAIR EQUITY RESEARCH SERVICES FORM ADV 2A (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WBC HOLDINGS, L.P.	HOLDING COMPANY
CITARDI, CISSIE	EXECUTIVE COMMITTEE, GENERAL COUNSEL	6642613
DEVORE, RYAN JACOB	EXECUTIVE COMMITTEE	3049671
DUWA, ROBERT J	EXECUTIVE COMMITTEE	2931296
GLEDHILL, BRENT WALKER	PRESIDENT, CEO	2921069
MCLAUGHLIN, SCOTT THOMAS	EXECUTIVE COMMITTEE	2481285
QUINN, MICHAEL PATRICK	EXECUTIVE COMMITTEE	3257072
RASAVONGXAY, WILLSON B	CHIEF COMPLIANCE OFFICER	6593731
SATTERFIELD, BETH A	EXECUTIVE COMMITTEE	6011858
TOLE, STEVEN ROBERT	EXECUTIVE COMMITTEE	5885283
TRIMBERGER, MICHAEL WILLIAM	CFO	5329834
ZIMMER, MATTHEW MONTGOMERY	EXECUTIVE COMMITTEE	4157826

Regulatory assets under management

Total Number of Accounts	37,973
AUM (Assets Under Management)	$ 58,329,726,421

Disclosures

Regulatory Event	29
Arbitration	2
Bond	1

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.

Contact information

xxxxx@xxxx.xxx

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Mary L. Ubik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Lynn Ubik's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mary Lynn Ubik's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIAM BLAIR

TRANSAMERICA FINANCIAL ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WILLIAM BLAIR

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/1996

Series 63

Date: 12/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/5/1994

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

WILLIAM BLAIR

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILLIAM BLAIR

TRUST BUT VERIFY

Contact information

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