Mark D. Murray

SWBC INVESTMENT ADVISORY SERVICES LLC

Austin, TX 78746

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CRD#: 4284672

Professional summary

Mark Donald Murray is a registered financial advisor currently at SWBC INVESTMENT ADVISORY SERVICES LLC located in Austin, 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 6TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Baseball Umpire (self employed), not investment related, umpire baseball games, started 2015, 10 hours/month, no work during securities trading hours. Dreamhome Partners, LLC., not investment-related, 203 Elmwood, Pittsburg, KS, rental homes, passive shareholder, started 2017, 1 hour/month, no work during securities trading, no business duties. Rockdale Flying Tigers, LLC; Rockdale, TX; not investment related; Vice president of Airplane Flying Club; start date 1.13.23; 1 hour per month/0 hours during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Donald Murray'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®

None

Experience

Current

February 6, 2024 - Present

SWBC INVESTMENT ADVISORY SERVICES LLC

Office #1: 900 South Capital Of Texas Ste 155, Austin, TX 78746

RIA

CRD#: 156155

Austin, TX

Past

March 1, 2022 - June 5, 2023

CREATIVE PLANNING

RIA

CRD#: 105348

Round Rock, TX

Past

June 21, 2013 - May 12, 2021

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

ROUND ROCK, TX

Past

November 13, 2003 - May 12, 2021

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

ROUND ROCK, TX

Past

April 12, 2002 - October 31, 2003

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

IRVING, TX

Past

March 28, 2002 - October 31, 2003

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

January 3, 2002 - April 5, 2002

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

November 6, 2000 - January 24, 2002

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

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".

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

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

Texas
(2/6/2024)

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: 6/21/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 12/7/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/3/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/7/2022

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

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Contact information

Main Address

900 South Capital Of Texas Ste 155, Austin, TX 78746

Mailing Address

Phone number

(512) 807-2606

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SWBC RETIREMENT PLAN SERVICES FORM ADV PART 2A (3/30/2025)

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

Mark D. Murray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Donald Murray's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVE PLANNING

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

VALIC FINANCIAL ADVISORS, INC.

FARMERS FINANCIAL SOLUTIONS, LLC

Primary Firm SEC Registration

SWBC INVESTMENT ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2013

Series 63

Date: 11/20/2000

Series 6TO

Date: 12/7/2022

SIE

Date: 10/1/2018

Series 6

Date: 11/3/2000

Series 26

Date: 12/7/2022

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SWBC INVESTMENT ADVISORY SERVICES LLC

TRUST BUT VERIFY

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