MC
Mark J. Carr
SECURITY DISTRIBUTORS
TOPEKA, KS 66636-0001
Some features on this profile are disabled
CRD#: 2833346
MC
Professional summary
Mark Joseph Carr is a registered financial professional currently at SECURITY DISTRIBUTORS located in Topeka, Kansas.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Joseph Carr's CRS (Customer Relationship Summary).
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
Current
July 20, 2004 - Present
SECURITY DISTRIBUTORS
Office #1: One Security Benefit Place, Topeka, KS 66636-0001BD
CRD#: 3336
TOPEKA, KS
Past
October 13, 2003 - May 24, 2004
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
February 5, 1999 - December 11, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 21, 1997 - February 19, 1999
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/16/2024)
RR
Alaska(1/15/2020)
RR
Arizona(1/15/2020)
RR
Arkansas(1/15/2020)
RR
California(11/22/2017)
RR
Colorado(1/15/2020)
RR
Connecticut(5/16/2024)
RR
Delaware(5/16/2024)
RR
District of Columbia(5/16/2024)
RR
Florida(5/16/2024)
RR
Georgia(5/16/2024)
RR
Hawaii(11/22/2017)
RR
Idaho(1/2/2018)
RR
Illinois(1/15/2020)
RR
Indiana(5/16/2024)
RR
Iowa(1/15/2020)
RR
Kansas(9/16/2004)
RR
Kentucky(5/16/2024)
RR
Louisiana(1/15/2020)
RR
Maine(5/16/2024)
RR
Maryland(5/16/2024)
RR
Massachusetts(5/16/2024)
RR
Michigan(5/16/2024)
RR
Minnesota(5/16/2024)
RR
Mississippi(5/16/2024)
RR
Missouri(1/15/2020)
RR
Montana(11/22/2017)
RR
Nebraska(1/15/2020)
RR
Nevada(1/2/2018)
RR
New Hampshire(5/16/2024)
RR
New Jersey(5/16/2024)
RR
New Mexico(1/15/2020)
RR
New York(5/16/2024)
RR
North Carolina(5/16/2024)
RR
North Dakota(11/22/2017)
RR
Ohio(5/17/2024)
RR
Oklahoma(1/15/2020)
RR
Oregon(11/22/2017)
RR
Pennsylvania(5/16/2024)
RR
Rhode Island(5/16/2024)
RR
South Carolina(5/16/2024)
RR
South Dakota(1/15/2020)
RR
Tennessee(5/16/2024)
RR
Texas(1/15/2020)
RR
Utah(1/2/2018)
RR
Vermont(5/16/2024)
RR
Virginia(5/16/2024)
RR
Washington(1/15/2020)
RR
West Virginia(5/16/2024)
RR
Wisconsin(5/16/2024)
RR
Wyoming(1/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SD
SECURITY DISTRIBUTORS
SECURITY DISTRIBUTORS | SECURITY DISTRIBUTORS, LLC | SECURITY DISTRIBUTORS, INC.
CRD#: 3336 / SEC#: , 8-10781
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Security Benefit Place, Topeka, KS 66636-0001
Mailing Address
One Security Benefit Place, Topeka, KS 66636
Phone number
(785) 438-3000
Established
Kansas since 03/06/1962
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY BENEFIT LIFE INSURANCE COMPANY | MEMBER | |
| AULETA, KURT EUGENE | SENIOR VICE PRESIDENT, SALES MANAGER WEST | 2463399 |
| BISHOP, COLIN WILLIAM | CFO, TREASURER & FINOP | 7787724 |
| BYRNES, DAVID GERARD | PRESIDENT & HEAD OF DISTRIBUTION | 1318905 |
| CARR, MARK JOSEPH | ASSISTANT VICE PRESIDENT | 2833346 |
| GARHART, GREGORY CHRISTOPHER | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER | 5118892 |
| HILL, CARMEN RENEE | VICE PRESIDENT & ASSISTANT SECRETARY | 2646887 |
| JACQUINOT, JUSTIN ABER | SENIOR VICE PRESIDENT, DIRECT RELATIONSHIPS | 4437252 |
| KILEY, JAMES J | SENIOR VICE PRESIDENT, EDUCATION MARKET & AFFILIATES | 1278905 |
| LACEY, SUSAN JANELLE | ASSISTANT TREASURER | 4930469 |
| MAGHINI, MICHAEL THOMAS | SENIOR VICE PRESIDENT, NATIONAL ACCOUNTS | 1239692 |
| REIDY, MICHAEL KEVIN | SENIOR VICE PRESIDENT | 1323936 |
| ROCHA, MATTHEW VINCENT | SENIOR VICE PRESIDENT, SALES MANAGER EAST | 5207062 |
| TALLEN, AARON MARSHAL | SECOND VICE PRESIDENT, HEAD OF DISTRIBUTION OPERATIONS & 401K DEFINED CONTRIBUTIONS | 4455856 |
| WILEY, DONALD ANDREW | VICE PRESIDENT | 1132196 |
| YOUNG, LISA MICHELLE | ASSISTANT TREASURER | 2596425 |
Disclosures
| Regulatory Event | 5 |
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.
