Mary T. Masters

MASTERS TAX AND FINANCIAL PLANNING LLC

STATESVILLE, NC 28677

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CRD#: 3130178

Professional summary

Mary Turner Masters AIF, AIF®, who also goes by Mary Moose Garlock, Mary T Masters, Mary Turner Masters, Mary T Moose Rfc, Mary T Moose, Mary Turner Moose, Mary Elizabeth Turner, is a registered financial advisor currently at MASTERS TAX AND FINANCIAL PLANNING LLC located in Statesville, North Carolina.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Mary has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Mary T Masters, a licensed insurance agent, offers insurance products through a broker as needed. This activity consumes less than 2 hours/month of Mrs. Masters's time. There is no separate DBA or entity for the insurance business; the address is the same.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Turner Masters AIF'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 9, 2020 - Present

MASTERS TAX AND FINANCIAL PLANNING LLC

Office #1: 246 E Broad Street, Statesville, NC 28677

RIA

CRD#: 310261

STATESVILLE, NC

Past

January 4, 2023 - May 8, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Tigard, OR

Past

October 6, 2022 - April 24, 2023

LOOKAHEAD WEALTH LLC

RIA

CRD#: 285724

Ocean Park, WA

Past

October 2, 2020 - December 31, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Ocean Park, WA

Past

September 25, 2017 - October 1, 2020

CETERA ADVISORS LLC

RIA

CRD#: 10299

MOLALLA, OR

Past

September 25, 2017 - October 1, 2020

CETERA ADVISORS LLC

CRD#: 10299

MOLALLA, OR

Past

November 14, 2016 - September 22, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

Milwaukie, OR

Past

October 26, 2016 - September 22, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

Milwaukie, OR

Past

October 21, 2014 - October 27, 2016

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Milwaukie, OR

Past

October 1, 2014 - October 27, 2016

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Milwaukie, OR

Past

January 7, 2014 - September 26, 2014

OSAIC WEALTH, INC.

RIA

CRD#: 23131

PORTLAND, OR

Past

January 6, 2014 - September 26, 2014

OSAIC WEALTH, INC.

CRD#: 23131

PORTLAND, OR

Past

September 5, 2013 - October 30, 2013

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LAKE OSWEGO, OR

Past

August 30, 2013 - October 30, 2013

FSC SECURITIES CORPORATION

CRD#: 7461

LAKE OSWEGO, OR

Past

February 27, 2009 - June 13, 2013

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

CHINA GROVE, NC

Past

February 27, 2009 - June 13, 2013

FSC SECURITIES CORPORATION

CRD#: 7461

CHINA GROVE, NC

Past

April 15, 2002 - February 27, 2009

ADVANTAGE CAPITAL CORPORATION

RIA

CRD#: 146

CHINA GROVE, NC

Past

May 10, 2001 - February 27, 2009

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

CHINA GROVE, NC

Past

May 16, 2000 - May 10, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

October 20, 1998 - May 25, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(11/20/2024)

IAR

North Carolina
(9/16/2024)

IAR

Oregon
(10/9/2020)

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

IAR

Series 65

Date: 2/28/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/2001

General Securities Principal Examination

Current Firm

MASTERS TAX AND FINANCIAL PLANNING LLC

FINANCIAL INDEPENDENCE LLC | VICTORY FINANCIAL PLANNING | MASTERS TAX AND FINANCIAL PLANNING LLP | MASTERS TAX AND FINANCIAL PLANNING LLC

CRD#: 310261 / SEC#:

Arizona

Registered Investment Advisory firm - (11/20/2024 Approved)

North Carolina

Registered Investment Advisory firm - (9/16/2024 Approved)

Oregon

Registered Investment Advisory firm - (10/9/2020 Approved)

Washington

Registered Investment Advisory firm - (8/10/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

246 E Broad Street, Statesville, NC 28677

Mailing Address

Phone number

(503) 558-3102

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	100
AUM (Assets Under Management)	$ 30,000,000

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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Advisor Monitoring

Firm Stability Insights

Mary T. Masters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Turner Masters AIF's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LOOKAHEAD WEALTH LLC

PURSHE KAPLAN STERLING INVESTMENTS

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

ADVANTAGE CAPITAL CORPORATION

FSC SECURITIES CORPORATION

FIRST UNION BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2001

Series 63

Date: 10/21/1998

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/22/2000

Series 6

Date: 10/19/1998

Series 24

Date: 2/2/2001

Current Firm

MASTERS TAX AND FINANCIAL PLANNING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MASTERS TAX AND FINANCIAL PLANNING LLC

TRUST BUT VERIFY

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