Marion B. Clark

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CRD#: 1093047

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marion Brooks Clark, CFP®, who also goes by Marion Brooks Clarke, was a registered financial professional .

Marion is a previously registered financial professional and started their career in finance in 1983. Marion had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marion Brooks Clarke

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1984

Experience

Past

May 6, 2022 - January 3, 2025

WAVERLY ADVISORS, LLC

RIA

CRD#: 115332

BIRMINGHAM, AL

Past

July 13, 2010 - December 5, 2013

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

BIRMINGHAM, AL

Past

July 7, 2010 - June 8, 2022

CLARK FINANCIAL ADVISORS

RIA

CRD#: 110955

BIRMINGHAM, AL

Past

September 28, 2004 - May 28, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BIRMINGHAM, AL

Past

September 7, 1999 - September 28, 2004

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

July 6, 1992 - August 20, 1999

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

November 26, 1988 - July 6, 1992

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

June 22, 1983 - October 11, 1988

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/1986

General Securities Principal Examination

Current Firm

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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Contact information

Main Address

600 University Park Place Suite 501, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-3334

Established

Firm type

Fiscal year end

# of Employees

371

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts	34,313
AUM (Assets Under Management)	$ 28,263,743,199

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report
06/15/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Marion B. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RESOURCE HORIZONS GROUP LLC

CLARK FINANCIAL ADVISORS

PURSHE KAPLAN STERLING INVESTMENTS

SECURITIES SERVICE NETWORK, LLC

COMMONWEALTH FINANCIAL NETWORK

KAVANAUGH SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WAVERLY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1983

Series 7

Date: 6/18/1983

Series 24

Date: 9/23/1986

Current Firm

WAVERLY ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WAVERLY ADVISORS, LLC

TRUST BUT VERIFY

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