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MP

Mary C. Proctor

Some features on this profile are disabled
CRD#: 5108682
MP

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 Catherine Proctor, who also goes by Mary Proctor Laethem, Mary Proctor, Mollie Proctor, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2010. Mary had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Proctor Laethem | Mary Proctor | Mollie Proctor

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

May 23, 2017 - January 30, 2026

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Bloomfield Hills, MI
Past

May 23, 2017 - January 30, 2026

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Bloomfield Hills, MI
Past

March 22, 2012 - October 14, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BIRMINGHAM, MI
Past

March 21, 2012 - October 14, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BIRMINGHAM, MI
Past

December 13, 2011 - March 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
TROY, MI
Past

December 7, 2011 - March 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
TROY, MI
Past

May 26, 2010 - January 12, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
BLOOMFIELD HILLS, MI
Past

March 15, 2010 - January 12, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
BLOOMFIELD HILLS, MI

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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 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
RR
IAR
Series 66
Date: 4/10/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2010
General Securities Representative Examination

Current Firm

KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 Approved)
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Contact information

Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299

SEC notice filing (53 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

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
12/23/2024
Cover Page
Report
10/20/2023
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.

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330

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