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Mary A Faher

CRD# 2852644·Registered 2003 - 2011
Barred: Mary A Faher was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mary A Faher, who also goes by Mary Alice Faher, Mary A Rittersdorf, was a registered financial advisor. Mary was a previously registered financial advisor and started their career in finance 2003 - 2011. Mary had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mary Alice Faher, Mary A Rittersdorf

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

THE DIVERSIFIED GROUP·CRD# 151960
RIA
Saginaw, MI
March 30, 2011 - December 31, 2011
W R RICE FINANCIAL SERVICES, INC.·CRD# 36700
BD
St. Joseph, MI
March 28, 2011 - November 21, 2012
THE DIVERSIFIED GROUP·CRD# 151960
RIA
Saginaw, MI
February 23, 2011 - March 23, 2011
FIFTH THIRD SECURITIES, INC.·CRD# 628
RIA
Niles, MI
August 28, 2007 - February 11, 2011
FIFTH THIRD SECURITIES, INC.·CRD# 628
BD
Niles, MI
March 2, 2004 - February 11, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
February 11, 2003 - January 15, 2004

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Current Firm

TD
THE DIVERSIFIED GROUP

THE DIVERSIFIED GROUP | THE DIVERSIFIED GROUP ADVISORY FIRM, LLC

CRD#: 151960

Contact Information

Main Address

2222 Weiss, Saginaw, MI 48602

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2003About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 2003About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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