Mary F. Powers
Professional summary
Mary Frances Powers, who also goes by Mary Frances Grinnell, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
Mary is registered as a RR (Registered Representative) and started their career in finance in 2002. Mary has worked at 6 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Frances Powers's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 26, 2026 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017September 24, 2024 - May 15, 2026
U.S. BANCORP ADVISORS, LLC
September 14, 2017 - May 15, 2026
U.S. BANCORP INVESTMENTS, INC.
September 1, 2011 - August 16, 2017
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
January 3, 2011 - April 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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