Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Caldwell is a financial advisor with Fidelity Personal and Workplace Advisors. Mary has been in the financial services industry for over 20 years. She is registered in 52 states, including Texas and Kentucky, where she currently holds a Series 66 and Series 7 license. Prior to joining Fidelity, Mary worked for National Financial Services LLC and Fidelity Brokerage Services LLC. Mary specializes in providing financial planning, portfolio management, and educational seminars to both businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
KY
05/16/2022 - Present
Fidelity Personal AND Workplace Advisors (COVINGTON KY)
KY
12/03/2007 - 10/02/2013
NATIONAL FINANCIAL SERVICES LLC (COVINGTON KY)
KY
08/28/2002 - 12/06/2006
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
BOTH
Issued 05/04/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/10/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/25/2021
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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