MG
Mark A. Garrick
MUTUAL OF AMERICA SECURITIES LLC
Boca Raton, FL 33487
Some features on this profile are disabled
CRD#: 5001025
MG
Professional summary
Mark Anthony Garrick is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Boca Raton, Florida.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 26 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 Anthony Garrick'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
October 10, 2007 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 1150 Broken Sound Parkway Nw, Boca Raton, FL 33487BD
CRD#: 27878
Boca Raton, FL
Past
October 10, 2007 - November 24, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
Boca Raton, FL
Past
March 8, 2006 - February 26, 2007
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
WEST PALM BEACH, FL
Past
July 22, 2005 - March 24, 2006
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
BOCA RATON, FL
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(11/21/2013)
RR
Alaska(11/21/2013)
RR
Arizona(11/21/2013)
RR
Arkansas(11/21/2013)
RR
California(11/21/2013)
RR
Colorado(11/21/2013)
RR
Connecticut(11/21/2013)
RR
Delaware(11/21/2013)
RR
District of Columbia(11/21/2013)
RR
Florida(10/10/2007)
RR
Georgia(11/21/2013)
RR
Hawaii(11/21/2013)
RR
Idaho(11/21/2013)
RR
Illinois(11/21/2013)
RR
Indiana(11/21/2013)
RR
Iowa(11/21/2013)
RR
Kansas(11/21/2013)
RR
Kentucky(11/21/2013)
RR
Louisiana(11/21/2013)
RR
Maine(11/21/2013)
RR
Maryland(11/21/2013)
RR
Massachusetts(11/21/2013)
RR
Michigan(11/21/2013)
RR
Minnesota(11/21/2013)
RR
Mississippi(11/21/2013)
RR
Missouri(11/21/2013)
RR
Montana(11/21/2013)
RR
Nebraska(11/21/2013)
RR
Nevada(11/21/2013)
RR
New Hampshire(11/21/2013)
RR
New Jersey(11/21/2013)
RR
New Mexico(11/21/2013)
RR
New York(11/21/2013)
RR
North Carolina(11/22/2013)
RR
North Dakota(11/21/2013)
RR
Ohio(11/22/2013)
RR
Oklahoma(11/21/2013)
RR
Oregon(11/21/2013)
RR
Pennsylvania(11/21/2013)
RR
Rhode Island(11/21/2013)
RR
South Carolina(11/21/2013)
RR
South Dakota(11/21/2013)
RR
Tennessee(11/21/2013)
RR
Texas(11/21/2013)
RR
Utah(11/21/2013)
RR
Vermont(11/21/2013)
RR
Virginia(11/21/2013)
RR
Washington(11/21/2013)
RR
West Virginia(11/21/2013)
RR
Wisconsin(11/21/2013)
RR
Wyoming(11/21/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 8/28/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
