Mary L. Santini

UNITED CAPITAL FINANCIAL ADVISORS

THE WOODLANDS, TX 77380

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CRD#: 5443178

Professional summary

Mary Lauren Santini, who also goes by Mary Lauren Du Bose, Mary Lauren Dubose, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in The Woodlands, Texas.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Mary has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Lauren Du Bose | Mary Lauren Dubose

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.

VINNIE AND THE MONTAGE; NOT INVESTMENT RELATED; LOCATED IN CONROE, TX; MUSIC BAND; SINGER; START DATE MARCH 2025; 4 HOURS PER MONTH; NO TIME DURING TRADING HOURS; DUTIES INCLUDE SINGING AND EQUIPMENT SETUP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Lauren Santini'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

August 20, 2018 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 1450 Lake Robbins Drive Suite 400, The Woodlands, TX 77380

RIA

CRD#: 134600

THE WOODLANDS, TX

Past

August 18, 2022 - November 15, 2023

GOLDMAN SACHS & CO. LLC

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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
(8/20/2018)

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: 6/4/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/2009

General Securities Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	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.

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Mary L. Santini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Lauren Santini's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2009

SIE

Date: 8/1/2018

Series 7

Date: 3/20/2009

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

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

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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