MC
Mark C. Connell
FINANCIAL & TAX ARCHITECTS
Grapevine, TX 76051
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CRD#: 4260520
MC
Mark Christopher ConnellFINANCIAL & TAX ARCHITECTS
Professional summary
Mark Christopher Connell is a registered financial advisor currently at FINANCIAL & TAX ARCHITECTS, LLC located in Grapevine, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Mark has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
At a Glance
Always Fiduciary
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.
Business Name: Aion Retirement, DBA - Investment Related: Yes - Address: 920 S. Main Str Ste 197 Grapevine, TX 76051 - Nature of Business: Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance and Annuity - Title or Relationship: Investment Advisor Representative/Insurance Agent - Start Date: 12/8/2025 - Hours per month: 80 - Hours per month during trading hours: 4 - Duties: Provide financial and insurance services Business Name: PAGA LLC - Investment Related: No - Address: 1309 Coffeen Ave Ste 5434 Sheridan, WY 82801 - Nature of Business: Mgmt Services - Title or Relationship: Member - Start Date: 2022 - Hours per month: varies - Hours per month during trading hours: 0-2 - Duties: Providing business mgmt. services to client companies
CRS (Client Relationship Summary) - RIA
Click below to view Mark Christopher Connell'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
September 28, 2026 - Present
FINANCIAL & TAX ARCHITECTS, LLC
Office #1: 920 S. Main St. #197, Grapevine, TX 76051RIA
CRD#: 119169
Grapevine, TX
Past
May 6, 2026 - September 30, 2026
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Grapevine, TX
Past
May 17, 2007 - October 1, 2010
MARK-CHRISTOPHER
RIA
CRD#: 130375
ADDISON, TX
Past
February 14, 2006 - August 23, 2006
WORLD CHOICE SECURITIES, INC.
BD
CRD#: 30933
DALLAS, TX
Past
November 9, 2005 - May 24, 2007
CAPITAL ADVISORY GROUP, INC.
RIA
CRD#: 114539
DALLAS, TX
Past
February 7, 2005 - August 4, 2005
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
PLANO, TX
Past
May 26, 2004 - August 15, 2005
LOCHINVAR VII ADVISORS
RIA
CRD#: 130375
PLANO, TX
Past
May 30, 2003 - August 4, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
April 12, 2002 - June 13, 2003
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
February 23, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 3, 2000 - December 31, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RYU FINANCIAL, INC | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)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
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 6
Passed: 10/2/2000
Investment Company Products/Variable Contracts Representative Examination
Current Firm
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RYU FINANCIAL, INC | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)Loading...
Contact information
Main Address
12412 Powerscourt Drive Suite 25, St. Louis, MO 63131
Mailing Address
Phone number
(314) 858-1122
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,736 |
| AUM (Assets Under Management) | $ 506,245,828 |
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.
