Mary Cherba has been Chief Compliance Officer of Financial Directions since September 2005, is a control person of the firm and directly owns under 5% of it.
Financial Directions LLC is a Tucson, AZ firm with $738M under management, 2,488 clients and 3 advisers in one office, as of its March 2026 filing.
- Financial Directions LLCCurrent– present · 4 yearsTucson, AZ · Adviser representative · Firm CRD 108475
Investment adviser representative registrations
Mary Cherba is registered as an investment adviser representative in Arizona, since June 2022.
- ArizonaSince 24 June 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 June 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 5 July 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 October 1998 |
| Series 7 | General Securities Representative Examination | 12 October 1998 |
- Name
- Operations Professional Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mary Lee Cherba
- CRD
- 3129156
- Firm
- Financial Directions · CRD 108475
- Role
- Chief Compliance Officer
- Office
- 1228 EAST PRINCE ROAD, Tucson, AZ 85719
- Registration
- Investment adviser registration
- In the industry since
- April 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Mary Cherba work?
Mary Cherba has been Chief Compliance Officer of Financial Directions LLC since September 2005, and is a control person of the firm.
Is Mary Cherba a financial advisor?
Yes. Mary Cherba has a current investment-adviser registration in Arizona, through Financial Directions since June 2022.
How many years of experience does Mary Cherba have?
Mary Cherba has 27 years in the financial industry, since April 1999, across 1 adviser firm.
What exams has Mary Cherba passed?
Mary Cherba has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 65 and Series 99TO. The earliest, the Series 7, was passed in October 1998. FINRA credited Mary Cherba with the SIE, which began in October 2018.
Where is Mary Cherba based?
Mary Cherba’s registered office is in Tucson, AZ.
Is Mary Cherba registered with FINRA?
No. Mary Cherba has no current broker registration.
How can I verify Mary Cherba’s record?
Search CRD 3129156 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mary Cherba’s full registration record.
