Maria Dianne A. Ergas

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CRD#: 4624836

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.

Maria Dianne Aprill Ergas, CFP®, who also goes by April Ergas, Maria Ergas, Maria Dianne Aprill Ergas, Aprill Ergas Shepherd, Aprill E Shepherd, was a registered financial professional .

Maria Dianne is a previously registered financial professional and started their career in finance in 2003. Maria Dianne had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

April Ergas | Maria Ergas | Maria Dianne Aprill Ergas | Aprill Ergas Shepherd | Aprill E Shepherd

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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

August 3, 2021 - March 4, 2024

FACET

RIA

CRD#: 285961

Thomasville, GA

Past

April 7, 2016 - August 6, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

March 1, 2016 - August 6, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

June 15, 2010 - May 24, 2011

TRUSTEE EMPOWERMENT & PROTECTION, INC.

RIA

CRD#: 108249

LEXINGTON, KY

Past

June 15, 2010 - May 24, 2011

CSSC BROKERAGE SERVICES, INC.

CRD#: 141630

LEXINGTON, KY

Past

December 23, 2008 - January 29, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

LEXINGTON, KY

Past

November 12, 2008 - January 29, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LEXINGTON, KY

Past

March 19, 2003 - December 13, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LEXINGTON, KY

Past

March 5, 2003 - December 13, 2004

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 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.

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

Series 63

Date: 3/28/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/18/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/2018

General Securities Principal Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	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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Maria Dianne A. Ergas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

TRUSTEE EMPOWERMENT & PROTECTION, INC.

CSSC BROKERAGE SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/2016

Series 66

Date: 11/18/2008

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2016

Series 24

Date: 7/23/2018

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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