Mark K. Mccool

MUTUAL OF AMERICA SECURITIES LLC

Conshohocken, PA 19428

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CRD#: 6170883

Professional summary

Mark K Mccool is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Conshohocken, Pennsylvania.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark K Mccool'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

July 27, 2022 - Present

MUTUAL OF AMERICA SECURITIES LLC

Office #1: 46 Fayette Street 1st Floor, Conshohocken, PA 19428

CRD#: 27878

Conshohocken, PA

Past

April 3, 2018 - August 20, 2021

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

December 3, 2015 - April 2, 2018

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

July 8, 2013 - April 2, 2018

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Delaware
(7/27/2022)

Maryland
(1/30/2025)

New Jersey
(7/27/2022)

Pennsylvania
(7/27/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/26/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 5/20/2025

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878 / SEC#: , 8-43278

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Mark K. Mccool

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark K Mccool's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN FINANCIAL DISTRIBUTORS, INC.

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2016

Series 63

Date: 8/15/2013

Series 99TO

Date: 5/20/2025

SIE

Date: 10/1/2018

Series 7

Date: 5/13/2013

FINRA

Current Firm

MUTUAL OF AMERICA SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MUTUAL OF AMERICA SECURITIES LLC

TRUST BUT VERIFY

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