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Detailed Report
MARY LOUISE GIBBONS
MARY FISCHENICH, MARY LOUISE JOHNSON, MARY JOHNSON
CRD#: 2049282
IA
Investment Adviser
B
Previous Broker
RIA ADVISORY GROUP, LLCCRD#: 152566 500 SW 7TH STREET
SUITE 204
DES MOINES, IA 50309
Registration History
19901995200020052010201520202025IARIA ADVISORY GROUP, LLC (CRD# 152566)2019 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2003 - 2019 (15 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)2000 - 2003 (3 years)BEDWARD JONES (CRD# 250)1997 - 2000 (3 years)BNEW ENGLAND SECURITIES (CRD# 615)1991 - 1992 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)1990 - 1991 (1 year)IAVISIONPOINT ADVISORY GROUP (CRD# 168733)2014 - 2019 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2003 - 2015 (12 years)IAU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)2001 - 2003 (2 years)
Disclosure(s)
View By:
8/27/2014
Customer Dispute
Denied
7/18/2013
Customer Dispute
Settled
License(s)

State Registrations

IA
Iowa 3/1/2019
Current Registration(s)
IA
RIA ADVISORY GROUP, LLC (CRD#:152566)
500 SW 7TH STREET SUITE 204, DES MOINES, IA 50309
Registered with this firm since 3/1/2019
Previous Registration(s)
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B
 09/24/2003 - 03/27/2019 LPL FINANCIAL LLC (CRD#:6413) WEST DES MOINES, IA
IA
 08/08/2014 - 03/05/2019 VISIONPOINT ADVISORY GROUP (CRD#:168733) AMES, IA
IA
 09/24/2003 - 10/28/2015 LPL FINANCIAL LLC (CRD#:6413) WEST DES MOINES, IA
IA
 04/04/2001 - 10/03/2003 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) AMES, IA
B
 09/22/2000 - 10/03/2003 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
 07/23/1997 - 09/29/2000 EDWARD JONES (CRD#:250) ST. LOUIS, MO
B
 12/23/1991 - 12/16/1992 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
B
 05/01/1990 - 08/05/1991 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.