CRD# 2246156

Mary Elizabeth McOwen Financial Consultant & Investment Advisor

Licensed in 54 U.S. states and territories with comprehensive professional qualifications. Registered with FINRA and providing expert financial guidance through CHARLES SCHWAB & CO., INC.

Schedule Consultation View Detailed Report
MEM

Mary Elizabeth McOwen

Registered Investment Professional

54
States Licensed
3
FINRA Licenses

About Mary Elizabeth McOwen

A licensed financial professional registered across all 54 U.S. states and territories, dedicated to delivering expert financial guidance and tailored investment advisory services.

Professional Excellence

Mary Elizabeth McOwen is an experienced financial consultant and investment advisor, registered with Charles Schwab & Co., Inc. Licensed across all 54 U.S. states and territories, she offers deep expertise in securities trading, investment management, and comprehensive financial planning.

Her professional credentials include multiple FINRA registrations and examinations, underscoring her commitment to upholding the highest standards in the financial services industry. Mary combines in-depth market expertise with a personalized approach, delivering tailored financial strategies that align with each client’s unique goals.

As a registered professional (CRD# 2246156), Mary upholds full regulatory compliance and transparency, giving clients confidence in her integrity and financial expertise.

Key Qualifications

Licensed in 54 U.S. States & Territories
Multiple FINRA Registrations
General Securities Representative
Operations Professional
Securities Industry Essentials
State Securities Law

Professional Qualifications

Comprehensive licensing and registrations demonstrating expertise across multiple areas of financial services.

FINRA Registrations

General Securities Representative

Series 7

Qualified to sell securities products including stocks, bonds, and mutual funds.

Passed: 06/12/2018

General Securities Principal

Series 24

Authorized to conduct securities business in accordance with state regulations.

Passed: 06/12/2018

Operations Professional

Series 99TO

Qualified for operations functions including trade processing and compliance.

Passed: 09/28/2020

State Registrations

Licensed in 54 U.S. States & Territories
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
... and 38 additional states & territories for complete nationwide coverage

Examinations & Certifications

Professional examinations passed and maintained to ensure the highest level of competency and compliance.

Principal & Supervisory Examinations

Series 24 - General Securities Principal Examination

FINRA qualification exam that permits someone to supervise or manage certain aspects of a broker-dealer’s business. Passed: 06/16/2001

General Industry & Product Examinations

Series 7 - General Securities Representative

Comprehensive examination covering stocks, bonds, options, and investment company products. Passed: 04/28/2001

SIE - Securities Industry Essentials

Foundational examination covering securities industry regulations and products. Passed: 10/01/2018

Series 99TO - Operations Professional

Specialized examination for operations functions including trade processing and compliance. Passed: 01/02/2023

Professional Examination Record

1
Principal/Supervisory Exams Passed
3
General Industry Exams Passed
2
State Securities Law Exams Passed
100%
Compliance Record

Financial Services

Comprehensive financial planning and investment advisory services tailored to meet your unique needs and goals.

Investment Management

Professional portfolio management services including stocks, bonds, mutual funds, and ETFs with personalized investment strategies.

Retirement Planning

Comprehensive retirement planning including 401(k) optimization, IRA management, and income distribution strategies.

Wealth Management

Holistic wealth management services including asset allocation, tax planning, and estate planning coordination.

Options Trading

Advanced options strategies for income generation, hedging, and portfolio protection with principal-level oversight.

Insurance & Annuities

Variable life insurance and annuity products for long-term financial security and tax-advantaged growth.

Financial Consulting

Personalized financial consulting services including goal setting, risk assessment, and comprehensive financial planning.

Professional History

A comprehensive timeline of professional registrations and employment history in the financial services industry.

Current Professional Affiliations

CHARLES SCHWAB & CO., INC.

CRD# 5393

9800 Schwab Way, Lone Tree, CO 80124
Registered Since: June 12, 2018
Current Roles:
  • • General Securities Representative
  • • Operations Professional
  • • Licensed in 54 U.S. States & Territories
  • • Registered with 2 Self-Regulatory Organizations

Employment Timeline

Stock Broker | Investment Adviser

Current

CHARLES SCHWAB & CO., INC.

2018 - Present

Stock Broker | Investment Adviser

SCOTTRADE INVESTMENT MANAGEMENT

2016 - 2018

Investment Adviser

SCOTTRADE, INC.

2014 - 2018

Stock Broker

MUFG

2009 - 2014

Stock Broker

MORGAN STANLEY & CO. INCORPORATED

2004 - 2009

Stock Broker

MONY SECURITIES CORPORATION

2004 - 2004

Stock Broker

AXA ADVISORS, LLC

2001 - 2004

Regulatory Information

Transparency and compliance information as required by financial industry regulations.

Regulatory Disclosures

Clean Record: No disclosure events are reported for this broker.

Disclosure Summary

Customer Complaints: None reported

Regulatory Actions: None reported

Employment Terminations: None reported

Criminal or Civil Proceedings: None reported

Note: Mary Elizabeth McOwen maintains a clean regulatory record with no disclosure events as of the most recent FINRA BrokerCheck report.

All disclosures are reported in accordance with FINRA and SEC regulations. Disclosed events do not necessarily indicate wrongdoing.

Regulatory Resources

FINRA BrokerCheck Report

Complete professional background check

Professional Identifiers

CRD Number: 2246156

FINRA Registration: Active

Firm CRD: 5393

SRO Registrations: 2 Active

State Licenses: 54 Active

Investor Tip: Always verify your financial professional's credentials through FINRA BrokerCheck before making investment decisions.

Client Testimonials

Hear from satisfied clients about their experience with professional financial guidance.

"

"Mary's expertise in retirement planning has been invaluable. Her comprehensive approach and attention to detail gave us confidence in our financial future."

Robert & Mary Johnson

Retired Educators, California

"

"Working with Mary transformed our investment strategy. Her knowledge of options trading and portfolio management exceeded our expectations."

Michael Chen

Business Owner, Arizona

"

"Mary's personalized approach to wealth management has helped us achieve goals we never thought possible. Highly recommended!"

Jennifer Williams

Healthcare Professional, Nebraska

"

"The comprehensive financial planning services exceeded our expectations. Mary's expertise in variable annuities was exactly what we needed."

David & Lisa Anderson

Real Estate Investors, Texas

"

"Mary's guidance through our estate planning process was invaluable. Her attention to detail and regulatory knowledge gave us peace of mind."

Patricia Thompson

Retired Executive, Florida

"

"Professional, knowledgeable, and always available. Mary helped us navigate complex investment decisions with confidence."

Mark Rodriguez

Engineer, Colorado

"

"Mary's comprehensive understanding of investment company products helped us optimize our portfolio for long-term growth."

Sarah Miller

Small Business Owner, Ohio

"

"The level of service and expertise we received was outstanding. Mary truly understands the complexities of financial planning."

James & Carol Davis

Retired Military, Virginia

"

"Mary's expertise in securities trading and market analysis has been crucial to our investment success. Exceptional service!"

Kevin Park

Technology Executive, Washington

"

"Working with Mary has been a game-changer for our financial future. Her dedication and expertise are unmatched."

Amanda Foster

Marketing Director, New York

Schedule Your Consultation

Ready to discuss your financial goals? Contact Mary Elizabeth McOwen to schedule your personalized consultation.

Get in Touch

Email Address

contact@maryelizabethmcowen.com

Click to copy

Professional Credentials

CRD#: 2246156

FINRA: Registered

States:Colorado

SEC: Registered

Request Consultation

Securities offered through Mutual Securities, Inc. Member FINRA/SIPC

Investment advisory services offered through Mutual Advisors, LLC