TC
Taylor M. Clark
MMA SECURITIES LLC
Austin, TX 78746
Some features on this profile are disabled
CRD#: 5891533
TC
Professional summary
Taylor M Clark, who also goes by Taylor M. Clark, is a registered financial advisor currently at MMA SECURITIES LLC located in Austin, Texas.
Taylor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Taylor has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Taylor M. Clark
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.
1. Rental Property; Non-Investment Related; 7109 Tesoro Trail, Austin, TX 78729; Rental Property; Owner/Landlord; 4/28/2021; 5 hours per month; 5 hours during trading hours; Collect rent checks, repair house as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Taylor M Clark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Taylor M Clark'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
November 29, 2022 - Present
MMA SECURITIES LLC
Office #1: Rollingwood Center, Building 1 2500 Bee Cave Road, Suite 125, Austin, TX 78746Office #2: Rollingwood Center Building 1 2500 Bee Cave Road, Suite 125, Austin, TX 78746RIA
BD
CRD#: 44254
Austin, TX
Current
November 29, 2022 - Present
MMA SECURITIES LLC
Office #1: Rollingwood Center, Building 1 2500 Bee Cave Road, Suite 125, Austin, TX 78746RIA
BD
CRD#: 44254
Austin, TX
Past
September 1, 2017 - November 4, 2022
PENSIONMARK SECURITIES, LLC
BD
CRD#: 283952
Austin, TX
Past
September 8, 2015 - September 1, 2017
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
Austin, TX
Past
September 4, 2015 - November 4, 2022
WORLD INVESTMENT ADVISORS, LLC
RIA
CRD#: 208512
AUSTIN, TX
Past
September 8, 2014 - September 28, 2015
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
AUSTIN, TX
Past
May 5, 2014 - September 15, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 8, 2011 - March 17, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
FORT WORTH, TX
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".
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.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
Texas(11/29/2022)
IAR
Texas(11/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1166 Avenue Of The Americas, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(917) 625-4069
Established
New Jersey since 02/03/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
179
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
