MN
Maurice L. Naylon
SB ADVISORY
Buffalo, NY 14202-1610
Some features on this profile are disabled
CRD#: 831841
MN
Professional summary
Maurice Lawrence Naylon III, who also goes by Maurice L Naylon III, Maurice L Naylon, is a registered financial advisor currently at SB ADVISORY, LLC located in Buffalo, New York and SAN BLAS SECURITIES LLC located in Buffalo, New York.
Maurice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Maurice has worked at 8 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maurice L Naylon Iii | Maurice L Naylon
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)MAURICE L. NAYLON III, 360 Delaware Avenue, Suite 110, Buffalo, New York 14202-1610 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: INSURANCE AGENT DUTIES: SALE OF FIXED LIFE, HEALTH, ACCIDENT, DISABILITY, PROPERTY AND CASUALTY INSURANCE, FIXED ANNUITIES, AND LIFE SETTLEMENTS START DATE: 10/1/99 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10 2)UPSTATE DEVELOPMENT CO. 64 HETZEL ROAD WILLIAMSVILLE, NEW YORK 14221-5306 CATEGORY: REAL ESTATE RENTAL INVESTMENT-RELATED: YES TITLE: OWNER DUTIES: REAL ESTATE RENTAL START DATE: 10/23/1989 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 0 3)THE FINANCIAL ARCHITECTS, LLC 360 DELAWARE AVENUE, SUITE 110, BUFFALO, NEW YORK 14202-1610 CATEGORY: LEGAL ENTITY INVESTMENT-RELATED: NO TITLE: CO-OWNER DUTIES: PAY FOR GENERAL OFFICE EXPENSES. 4. DESIGNED SETTLEMENTS SERVICES, INC. 360 DELAWARE AVENUE, SUITE 110, BUFFALO, NEW YORK 14202-1610 START DATE: 9/2018 HOURS PER MONTH: 20 HOURS PER MONTH DURING TRADING HOURS: 10 SALE OF STRUCTURED SETTLEMENT ANNUITIES AND RELATED SERVICES iNVESTMENT-RELATED: YES TITLE: MINORITY OWNER AND VICE PRESIDENT 5. LIFE INSURANCE GENERAL AGENCY - PACIFIC LIFE 360 DELAWARE AVENUE, SUITE 110, BUFFALO, NEW YORK 14202-1610 START DATE: 9/2018 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 5 DUTIES: SALE OF LIFE INSURANCE PRODUCTS iNVESTMENT-RELATED: NO TITLE: OWNER 6)BUFFALO RENAISSANCE FOUNDATION, INC. POST OFFICE BOX 322 BUFFALO, NEW YORK 14205 CATEGORY: COMMUNITY FOUNDATION INVESTMENT-RELATED: NO TITLE: DIRECTOR DUTIES: THOSE USUAL TO A 501 (C) (3) START DATE: 1981 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0 7)REGIONAL TRAFFIC ALLIANCE, INC. POST OFFICE BOX 1291 ELLICOTT STATION BUFFALO, NEW YORK 14205 CATEGORY: CHARITY INVESTMENT-RELATED: NO TITLE: DIRECTOR DUTIES: THOSE USUAL TO A 501 (C) (3) START DATE: 2015 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 0 8). BUFFALO AND ERIE COUNTY NAVAL & MILITARY PARK 1 NAVAL PARK COVE BUFFALO, NEW YORK 14202 CATEGORY: NAVAL AND MILITARY PARK INVESTMENT-RELATED: NO TITLE: DIRECTOR DUTIES: THOSE USUAL TO MILITARY EXHIBITION FACILITY ORGANIZED AS A 501 (C) (3) START DATE: 2018 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 9. EMPLOYER SUPPORT FOR THE GUARD AND RESERVE 330 OLD NISKAYUNA ROAD LATHAM, NEW YORK 12110 CATEGORY: NAVAL AND MILITARY PARK INVESTMENT-RELATED: NO TITLE: WESTERN NEW YORK COMMITTEE CHAIR DUTIES: SUPPORT OF GUARD AND RESERVE OPERATING UNDER THE AEGIS OF THE DEPARTMENT OF DEFENSE START DATE: 2012 HOURS PER MONTH: 6 HOURS PER MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Maurice Lawrence Naylon III'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
April 28, 2021 - Present
SB ADVISORY, LLC
Office #1: 360 Delaware Avenue, Suite 110, Buffalo, NY 14202-1610RIA
CRD#: 154680
Buffalo, NY
Current
October 2, 2023 - Present
SAN BLAS SECURITIES LLC
Office #1: 360 Delaware Avenue Suite 110, Buffalo, NY 14202-1610BD
CRD#: 290605
Buffalo, NY
Past
April 28, 2021 - July 26, 2023
SAN BLAS SECURITIES LLC
BD
CRD#: 290605
Buffalo, NY
Past
July 18, 2002 - April 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 21, 1999 - April 16, 2021
OSAIC FA, INC.
BD
CRD#: 3978
Buffalo, NY
Past
June 19, 1983 - January 1, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
March 4, 1983 - February 10, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
July 20, 1979 - February 18, 1983
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
Past
January 3, 1977 - August 9, 1979
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)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
California(4/29/2021)
RR
California(10/18/2023)
IAR
Florida(5/12/2022)
IAR
Illinois(8/31/2021)
RR
Illinois(6/27/2024)
IAR
Maryland(4/28/2021)
IAR
New York(9/9/2021)
RR
New York(2/12/2024)
IAR
Pennsylvania(4/29/2021)
RR
Pennsylvania(2/20/2024)
IAR
Virginia(4/28/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/9/1976
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SB ADVISORY, LLC
CRD#: 154680Buffalo, NY 14202-1610TRUST BUT VERIFY
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