MT
Mark S. Tauber
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CRD#: 2312383
MT
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.
Mark Stuart Tauber, who also goes by Mark Stuart Taubere, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark Stuart Taubere
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.
1) Mark Tauber is dually-registered as an investment advisor representative with Alera Investment Advisors, LLC ("Alera" - since 11/2017) and as a Registered Representative with Triad Advisors, Inc. (Triad" - since 11/2017). Business is conducted from Three Parkway North Suite 500, Deerfield, IL 60015. Approximately 90% of Mr. Tauber's time is for services as an investment advisor representative and the balance as a registered representative. Alera and Triad are not affiliated. 2) GCG Financial;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;dba;advisor;11/1992;40 hrs/month;6.5 hrs during trading;dba 3)American Management Assoc;not investment related;46th and Broadway,New York,NY;communication & mgmt training;1/1/1990;16 hrs/month;6 hrs during trading;teach & facilitate learning on emotional intelligence,supervision,mgmt skills 3) Lake Forest Graduate School of Mgmt;not investment related;1905 Field Drive,Lake Forest,IL 60045;mba program;adjunct professor;1/1/1988;0 hrs during trading;develop & teach courses in mgmt of people 4) Heim Group;not investment related;gender communication training;1/1/2008;as requested hrs/month;0 hrs during trading;only did one workshop in Germany in 2008 but kept on roster in case requested 5) GCG Financial;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;fixed business;broker;11/1992;varies;varies;provide fixed business products to clients-ltc,property casualty ins,disability insurance,group benefits 6)Alera Group;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;corporation and parent company for the Alera affiliates;vp wealth management;11/1/2017;160 hrs/month;6.5 hrs during trading;financial professional for Alera Group,which operates under dba names Alera Group Wealth Services and Alera Group Retirement Plan Services
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®
NoneExperience
Past
November 3, 2017 - September 5, 2023
ALERA INVESTMENT ADVISORS, LLC
RIA
CRD#: 287906
DEERFIELD, IL
Past
November 2, 2017 - September 7, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
Deerfield, IL
Past
May 11, 2001 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
SCHAUMBURG, IL
Past
March 2, 1993 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
SCHAUMBURG, IL
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".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
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Contact information
Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
