Mary R. Warga
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 Rae Warga, who also goes by Mary Rae Johnson, Mary Johnson, Mimi Johnson, Mary Rae Mckee, Mimi Warga, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1979. Mary had worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2016 - May 15, 2017
SECURITIES AMERICA, INC.
January 2, 2014 - October 12, 2016
CAPITAL INSIGHT PARTNERS, LLC
July 6, 2007 - December 31, 2016
FOOTHILL SECURITIES, INC.
July 6, 2007 - December 8, 2016
FOOTHILL SECURITIES, INC.
July 2, 2002 - July 12, 2007
ASSOCIATED SECURITIES CORP.
April 14, 1999 - July 12, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
April 1, 1999 - July 12, 2007
ASSOCIATED SECURITIES CORP.
January 1, 1994 - March 30, 1999
OSAIC WEALTH, INC.
May 22, 1991 - January 1, 1994
CYPRESS CAPITAL CORPORATION
September 19, 1990 - May 22, 1991
ASSOCIATED SECURITIES CORP.
January 2, 1987 - September 28, 1990
CYPRESS CAPITAL CORPORATION
January 3, 1986 - January 21, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
September 28, 1982 - January 13, 1986
CAL-CAP SECURITIES, INC.
November 28, 1979 - October 13, 1982
WESCO SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/20/1979
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
