Shawn D. Mullarkey

TAYLOR SECURITIES SERVICES

Harrisburg, PA 17110

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CRD#: 5495111

Professional summary

Shawn David Mullarkey is a registered financial advisor currently at TAYLOR SECURITIES SERVICES, INC. located in Harrisburg, Pennsylvania.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Shawn has worked at 7 firms and has passed the Series 66, Series 65 and Series 7 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.

Insurance Sales Financial Advisor for Taylor Retirement Services, Inc. Commissions paid for annuity & life insurance sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn David Mullarkey's CRS (Customer Relationship Summary).

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

January 6, 2020 - Present

TAYLOR SECURITIES SERVICES, INC.

Office #1: 3113 North Front Street, Harrisburg, PA 17110

RIA

CRD#: 304070

Harrisburg, PA

Past

February 20, 2014 - January 15, 2020

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

HARRISBURG, PA

Past

August 6, 2013 - February 28, 2014

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

PALMYRA, PA

Past

August 6, 2013 - February 28, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PALMYRA, PA

Past

October 12, 2012 - July 8, 2013

OSAIC WEALTH, INC.

CRD#: 23131

LEMOYNE, PA

Past

February 7, 2012 - October 15, 2012

VICUS CAPITAL, INC.

RIA

CRD#: 116021

HARRISBURG, PA

Past

October 5, 2011 - October 19, 2012

WALNUT STREET SECURITIES, INC.

CRD#: 15840

HARRISBURG, PA

Past

February 22, 2008 - March 18, 2009

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

HARRISBURG, PA

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".

TAYLOR SECURITIES SERVICES, INC.

TAYLOR SECURITIES SERVICES, INC. | TAYLOR SECURITIES, INC.

CRD#: 304070 / SEC#: 801-125793

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/21/2022 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).

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

Pennsylvania
(1/6/2020)

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 66

Date: 11/30/2011

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/1/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/4/2011

General Securities Representative Examination

Current Firm

TAYLOR SECURITIES SERVICES, INC.

TAYLOR SECURITIES SERVICES, INC. | TAYLOR SECURITIES, INC.

CRD#: 304070 / SEC#: 801-125793

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/21/2022 Terminated)

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Contact information

Main Address

3113 North Front Street, Harrisburg, PA 17110

Mailing Address

Phone number

(717) 232-5808

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAYLOR SECURITIES SERVICES, INC. WRAP FEE PROGRAM BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,025
AUM (Assets Under Management)	$ 152,883,622

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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Firm Stability Insights

Shawn D. Mullarkey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn David Mullarkey's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE CAPITAL MANAGEMENT LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

OSAIC WEALTH, INC.

VICUS CAPITAL, INC.

WALNUT STREET SECURITIES, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

TAYLOR SECURITIES SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2011

Series 65

Date: 2/1/2008

Series 7

Date: 10/4/2011

Current Firm

TAYLOR SECURITIES SERVICES, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TAYLOR SECURITIES SERVICES, INC.

TRUST BUT VERIFY

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