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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Mary V Mann

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | Phoenix, AZ | PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:daa657b2-7462-7630-3312-e750ee5d88f6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 2, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 1, 2007
First registration: Oct 2, 2007
Dual registered: yes, broker-dealer
Other names: MARY MANN|Mary V Trembacz
IAPD individual key: 5254780

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 16, 2023	n/a	yes	PHOENIX, AZ\|Phoenix, AZ\|SAN DIEGO, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 15, 2022	Feb 17, 2023	no	PHOENIX, AZ	Previous registration
MOORS & CABOT, INC	Bd affiliated wealth	Jul 22, 2019	Oct 17, 2022	no	PHOENIX, AZ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 16, 2019	no	Los Angeles, CA\|PHOENIX, AZ\|SCOTTSDALE, AZ\|Scottsdale, AZ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 3, 2008	Jun 1, 2009	no	LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 2, 2007	Apr 14, 2008	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Feb 17, 2023	Feb 16, 2023	-1	Firm change	Wirehouse to RIA
MOORS & CABOT, INC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 17, 2022	Dec 15, 2022	59	Firm change	Ibd to wirehouse
MORGAN STANLEY	MOORS & CABOT, INC	Jul 16, 2019	Jul 22, 2019	6	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Apr 14, 2008	Apr 3, 2008	-11	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:6413:AZ:2023-02-17	Feb 17, 2023	Feb 16, 2023	PHOENIX, AZ	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 16, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 15, 2022 to Feb 17, 2023factForm ADV
→ MOORS & CABOT, INCRegistered adviserregistration: previous registration
Jul 22, 2019 to Oct 17, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 16, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 3, 2008 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 2, 2007 to Apr 14, 2008factForm ADV

Dated events

Occurred
Feb 17, 2023
Advisor changed firm
Mary V Mann left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Financial Llc (registered 2023-02-16)
Form ADVobserved 5 days ago
Occurred
Oct 17, 2022
Advisor changed firm
Mary V Mann left Moors & Cabot, Inc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-15)
Form ADVobserved 5 days ago