Mary M. Harris

QUADCAP WEALTH MANAGEMENT

FRISCO, TX 75034

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CRD#: 4607197

Professional summary

Mary Macintosh Harris, who also goes by Mary Gaillard Macintosh, Mary Gaillard Macintosh, is a registered financial advisor currently at QUADCAP WEALTH MANAGEMENT, LLC located in Frisco, Texas.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Mary has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Gaillard Macintosh | Mary Gaillard Macintosh

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.

1)FULL CIRCLE WEALTH;INVESTMENT RELATED;15660 N. DALLAS PKWY,STE 910,DALLAS,TX 75248;RIA;MEMBER;1/2015;100 HRS/MONTH;4 HRS DURING TRADING;FIDUCIARY RIA RESPONSIBILITIES 2)HERITAGE CAPITAL STRATEGIES;NOT INVESTMENT RELATED;2815 TOWNSGATE RD,STE 210,WESTLAKE VILLAGE,CA 91361;FIXED INSURANCE;AGENT;1/2015;10 HRS/MONTH;.5 HRS DURING TRADING;WRITE LIFE & LTC BUSINESS 3) Steven K. Cook;investment related; 15660 N Dallas Pkwy Ste 910 Dallas TX 75248; Prepare client reviews;relationship manager;2/1/2016;20 hrs/month;20 hrs/month during trading;return calls and emails,prepare client reviews

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Macintosh Harris'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®

None

Experience

Current

July 19, 2017 - Present

QUADCAP WEALTH MANAGEMENT, LLC

Office #1: 2600 Network Blvd Suite 300, Frisco, TX 75034

RIA

CRD#: 151490

FRISCO, TX

Past

January 12, 2015 - August 1, 2017

FULLCIRCLE WEALTH LLC

RIA

CRD#: 166695

DALLAS, TX

Past

January 9, 2015 - July 17, 2017

TRIAD ADVISORS LLC

CRD#: 25803

DALLAS, TX

Past

July 19, 2013 - January 6, 2015

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

MURPHY, TX

Past

July 2, 2013 - January 6, 2015

BBVA SECURITIES INC.

CRD#: 27060

PLANO, TX

Past

November 17, 2011 - April 8, 2013

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

August 13, 2009 - December 1, 2010

DIRECTED SERVICES LLC

RIA

CRD#: 21675

SCOTTSDALE, AZ

Past

October 16, 2007 - December 1, 2010

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

May 4, 2006 - September 27, 2007

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

November 24, 2003 - April 25, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

PHILADELPHIA, PA

Past

November 24, 2003 - April 25, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

May 29, 2003 - November 11, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

VIENNA, VA

Past

January 14, 2003 - November 11, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 14, 2003 - November 11, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

QUADCAP WEALTH MANAGEMENT, LLC

CRD#: 151490 / SEC#: 801-79483

RIA

Registered Investment Advisory firm - (4/17/2014 Approved)

Louisiana

Registered Investment Advisory firm - (5/12/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (5/8/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/5/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/19/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/27/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2003

General Securities Representative Examination

Current Firm

QUADCAP WEALTH MANAGEMENT, LLC

CRD#: 151490 / SEC#: 801-79483

RIA

Registered Investment Advisory firm - (4/17/2014 Approved)

Louisiana

Registered Investment Advisory firm - (5/12/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (5/8/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/5/2014 Terminated)

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Contact information

Main Address

2600 Network Blvd Suite 300, Frisco, TX 75034

Mailing Address

Phone number

(972) 818-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - QUADCAP (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,764
AUM (Assets Under Management)	$ 1,136,687,690

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Mary M. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Macintosh Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

FULLCIRCLE WEALTH LLC

TRIAD ADVISORS LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

EQUITABLE DISTRIBUTORS, LLC

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

MML DISTRIBUTORS, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

QUADCAP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2003

SIE

Date: 7/17/2017

Series 7

Date: 1/13/2003

Current Firm

QUADCAP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

QUADCAP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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