MT
Marcus A. Taylor
USA FINANCIAL SECURITIES LLC
Oakland, IA 51560
Some features on this profile are disabled
CRD#: 6907206
MT
Professional summary
Marcus Allen Taylor is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Oakland, Iowa.
Marcus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Marcus has worked at 1 firm and has passed the Series 66, SIE 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.
1) MILESTONE FINANCIAL GROUP, INC. - 505 N. 3RD STREET, RED OAK, IOWA 51566. START DATE: 01/2023. FINANCIAL ADVISOR. SELLING FIXED ANNUITIES AND LIFE, HEALTH, LONG TERM CARE AND DISABILITY INSURANCE. COMPENSATION IS 10% OF ANNUAL INCOME. 2 HOURS DEVOTED DURING SECURITIES TRADING HOURS. INVESTMENT RELATED. 2) MILLER FINANCIAL GROUP, INC. - 505 N. 3RD STREET, RED OAK, IOWA 51566 & 2211 CAPEHART RD SUITE 105, BELLEVUE NE 68123. START DATE: 12/2017. ADVISOR, SELL FIXED ANNUITIES, LIFE, HEALTH, LONG TERM CARE AND DISABILITY INSURANCE. 160 HRS/MO DEVOTED DURING SECURITIES TRADING HOURS. 3) IOWA ARMY NATIONAL GUARD - 2003 G. AVE. RED OAK, IA 51566. MILITARY SERVICE. START DATE: 06/2012. LIGHT WHEELED VEHICLE MECHANIC. SUPERVISE MAINTENANCE ACTIVITIES. 0 HRS/MO DEVOTED DURING SECURITIES TRADING HOURS. 4) CITY OF VILLISCA - CITY COUNCIL - 318 S. 3RD AVE, VILLISCA, IA 50864. START DATE: 01/2022. CITY COUNCIL MEMBER. ACT ON BEHALF OF THE CITY OF VILLISCA, IOWA TO APPROVE BUDGETS, ORDINANCES, AND POTENTIALLY MUNICIPAL BOND OFFERINGS. AUTHORITY TO VOTE ON ACTIONS AS A MEMBER OF CITY COUNCIL, NO INDIVIDUAL AUTHORITY. NON-INVESTMENT RELATED. 0 HRS/MO DEVOTED DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Marcus Allen Taylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marcus Allen Taylor'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
July 9, 2018 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 101 N. Main St. #6, Oakland, IA 51560Office #2: 610 Senate Ave. , Red Oak, IA 51566Office #3: 2111 South 67th St., Suite 3000, Omaha, NE 68106RIA
BD
CRD#: 103857
Oakland, IA
Current
May 8, 2018 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 101 N. Main St. #6, Oakland, IA 51560Office #2: 610 Senate Ave. , Red Oak, IA 51566Office #3: 2111 South 67th St., Suite 3000, Omaha, NE 68106RIA
BD
CRD#: 103857
Oakland, IA
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".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
IAR
Alabama(2/3/2022)
RR
Iowa(7/9/2018)
IAR
Iowa(7/9/2018)
RR
Minnesota(1/2/2020)
IAR
Minnesota(1/2/2020)
RR
Missouri(11/28/2018)
IAR
Missouri(11/28/2018)
RR
Nebraska(7/20/2018)
IAR
Nebraska(7/23/2018)
RR
Texas(10/4/2021)
IAR
Texas(10/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
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.
Company Information
USA FINANCIAL SECURITIES LLC
CRD#: 103857Oakland, IA 51560TRUST BUT VERIFY
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