MM
Mark T. Mccloskey
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CRD#: 325596
MM
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 Thomas Mccloskey was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1972. Mark had worked at 16 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, SIE, Series 15, Series 5, Series 000, Series 1, Series 53, Series 24, Series 4 and Series 12 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)
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 9, 2020 - January 21, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SEATTLE, WA
Past
November 6, 2020 - January 21, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
July 18, 2016 - November 7, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
SEATTLE, WA
Past
June 13, 2016 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
SEATTLE, WA
Past
March 13, 2014 - September 5, 2014
FSIC
BD
CRD#: 37813
SEATTLE, WA
Past
September 17, 2002 - June 25, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
RENTON, WA
Past
February 7, 2001 - February 4, 2002
COSSE' INTERNATIONAL SECURITIES, INC.
BD
CRD#: 6216
SEATTLE, WA
Past
June 5, 1995 - June 16, 1999
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 1, 1993 - June 5, 1995
G.R. STUART & COMPANY, INC.
BD
CRD#: 29101
MAYNARD, MA
Past
July 31, 1990 - June 4, 1993
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
February 5, 1988 - August 2, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 5, 1983 - February 20, 1988
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
January 18, 1978 - December 25, 1978
LOEB PARTNERS
BD
CRD#: 7534
Past
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
BD
CRD#: 7394
Past
July 23, 1974 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
BD
CRD#: 782
Past
January 23, 1973 - August 10, 1983
PERSHING LLC
BD
CRD#: 7560
Past
October 27, 1972 - November 17, 1973
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 9/6/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 4/11/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 1/23/1973
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 10/23/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 4/9/1979
NYSE Branch Manager ExaminationCurrent Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 |
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.
