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Mary Catherine Voss

CRD# 710006·Registered 1980 - 2016
Previously Registered: Being a previously registered professional could mean that Mary 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.

Professional Summary

Mary Catherine Voss, who also goes by Mary C Neudecker, Mary Catherine Neudecker, Mary C Schuelke, Mary Catherine Schuelke, Mary Kay Schuelke, Mary Kay Voss, was a registered financial advisor. Mary was a previously registered financial advisor and started their career in finance 1980 - 2016. Mary had worked at 6 firms and has passed the Series 63, Series 6, Series 5 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mary C Neudecker, Mary Catherine Neudecker, Mary C Schuelke, Mary Catherine Schuelke, Mary Kay Schuelke, Mary Kay Voss

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

46 years in the financial services industry

Current & Past Employments

GUARDIAN PLUS INC·CRD# 134306
RIA
Bothell, WA
January 22, 2010 - February 2, 2016
PACIFIC WEST SECURITIES, INC.·CRD# 6390
BD
Renton, WA
July 21, 1994 - May 14, 1999
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Windsor, CT
January 24, 1994 - July 11, 1994
LEHMAN BROTHERS INC.·CRD# 7506
BD
April 11, 1988 - May 13, 1988
E. F. HUTTON & COMPANY INC·CRD# 235
BD
February 2, 1984 - April 11, 1988
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
May 24, 1980 - December 14, 1983

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Current Firm

GP
GUARDIAN PLUS INC

GUARDIAN PLUS | WILLIAM H MCELROY & CO. | MERCATOR FINANCIAL GROUP | GUARDIAN PLUS INC

CRD#: 134306 / SEC#: 801-63951
RIA
Registered Investment Advisory firm - SEC (7/12/2012 Terminated)
Washington
Registered Investment Advisory firm - Washington (3/16/2012 Approved)
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).

Contact Information

Main Address

Bothell, WA

Phone Number

(425) 483-2169

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

18

AUM (Assets Under Management)

$10,732,843

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1994About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1994About the Series 6 exam

Series 5 — Interest Rate Options Examination

Passed Mar 1982

Series 7 — General Securities Representative Examination

Passed May 1980About the Series 7 exam

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CRS (Client Relationship Summary)

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

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