Individual Firm
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MARY TURNER MASTERS AIF
Mary Moose Garlock, MARY T MASTERS, MARY TURNER MASTERS, MARY T MOOSE RFC, MARY T MOOSE…
CRD#: 3130178
IA
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MASTERS TAX AND FINANCIAL PLANNING LLCCRD#: 310261 246 E BROAD STREET
STATESVILLE, NC 28677
STATESVILLE, NC 28677
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12/28/2022
Customer Dispute
Settled
3/24/2021
Customer Dispute
Settled
7/30/2016
Financial
Final
State Registrations
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Arizona 11/20/2024
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Oregon 10/9/2020
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North Carolina 9/16/2024
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Washington 10/28/2020
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Registered with this firm since 10/9/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/04/2023 - 05/08/2024 | Tigard, OR | |
IA | 10/06/2022 - 04/24/2023 | Ocean Park, WA | |
B | 10/02/2020 - 12/31/2022 | Ocean Park, WA | |
IA | 09/25/2017 - 10/01/2020 | MOLALLA, OR | |
B | 09/25/2017 - 10/01/2020 | MOLALLA, OR | |
IA | 11/14/2016 - 09/22/2017 | Milwaukie, OR | |
B | 10/26/2016 - 09/22/2017 | Milwaukie, OR | |
IA | 10/21/2014 - 10/27/2016 | Milwaukie, OR | |
B | 10/01/2014 - 10/27/2016 | Milwaukie, OR | |
IA | 01/07/2014 - 09/26/2014 | PORTLAND, OR | |
B | 01/06/2014 - 09/26/2014 | PORTLAND, OR | |
IA | 09/05/2013 - 10/30/2013 | LAKE OSWEGO, OR | |
B | 08/30/2013 - 10/30/2013 | LAKE OSWEGO, OR | |
IA | 02/27/2009 - 06/13/2013 | CHINA GROVE, NC | |
B | 02/27/2009 - 06/13/2013 | CHINA GROVE, NC | |
IA | 04/15/2002 - 02/27/2009 | CHINA GROVE, NC | |
B | 05/10/2001 - 02/27/2009 | CHINA GROVE, NC | |
B | 05/16/2000 - 05/10/2001 | ATLANTA, GA | |
B | 10/20/1998 - 05/25/2000 | CHARLOTTE, NC |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.