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MT

Mary D. Thomas

Some features on this profile are disabled
CRD#: 4095317
MT

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 Dianne Thomas, who also goes by Mary D Daniels, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2000. Mary had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary D Daniels

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)

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

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

Past

March 25, 2015 - January 6, 2016

SNOWDEN CAPITAL ADVISORS LLC

RIA
CRD#: 157299
PASADENA, CA
Past

March 25, 2015 - January 6, 2016

SNOWDEN ACCOUNT SERVICES LLC

BD
CRD#: 149794
PASADENA, CA
Past

July 2, 2014 - September 12, 2014

NYLIFE SECURITIES LLC

BD
CRD#: 5167
LOS ANGELES, CA
Past

September 21, 2012 - November 4, 2013

COMPOSITION WEALTH, LLC

RIA
CRD#: 143483
LOS ANGELES, CA
Past

August 4, 2011 - July 12, 2012

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
GLENDALE, CA
Past

July 26, 2011 - July 12, 2012

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
GLENDALE, CA
Past

August 24, 2009 - September 13, 2011

COMPOSITION WEALTH, LLC

RIA
CRD#: 143483
BEVERLY HILLS, CA
Past

June 1, 2009 - August 4, 2009

MORGAN STANLEY

RIA
CRD#: 149777
SAN FRANCISCO, CA
Past

June 1, 2009 - August 4, 2009

MORGAN STANLEY

BD
CRD#: 149777
SAN FRANCISCO, CA
Past

April 27, 2005 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SAN FRANCISCO, CA
Past

April 27, 2005 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN FRANCISCO, CA
Past

January 26, 2001 - April 21, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BEVERLY HLS, CA
Past

March 28, 2000 - April 21, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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".
SNOWDEN CAPITAL ADVISORS LLC
SNOWDEN CAPITAL ADVISORS LLC
CLEARBOURNE CAPITAL ADVISORS LLC | SNOWDEN LANE PARTNERS | SNOWDEN CAPITAL ADVISORS LLC

CRD#: 157299 / SEC#: 801-72332

RIA
Registered Investment Advisory firm - (6/17/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/14/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/6/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/20/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/2000
General Securities Representative Examination

Current Firm

SNOWDEN CAPITAL ADVISORS LLC
SNOWDEN CAPITAL ADVISORS LLC
CLEARBOURNE CAPITAL ADVISORS LLC | SNOWDEN LANE PARTNERS | SNOWDEN CAPITAL ADVISORS LLC

CRD#: 157299 / SEC#: 801-72332

RIA
Registered Investment Advisory firm - (6/17/2011 Approved)
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Contact information

Main Address
540 Madison Ave. 9th Floor, New York, NY 10022
Mailing Address
Phone number
(646) 218-9760
Established
Firm type
Fiscal year end
# of Employees
145

SEC notice filing (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025-04-16 PART 2A (4/16/2025)
2025-03-26 APPENDIX 1 - WRAP FEE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts9,968
AUM (Assets Under Management)$ 7,554,762,347

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

SNOWDEN CAPITAL ADVISORS LLC

SNOWDEN CAPITAL ADVISORS LLC

CRD#: 157299

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