Mark G. Steffan
Professional summary
Mark Gregory Steffan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Mark had worked at 8 firms, which includes MUTUAL SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, THOMSON MCKINNON SECURITIES INC., SUTRO & CO. INCORPORATED, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1998 - October 22, 2001
MUTUAL SECURITIES, INC.
April 19, 1995 - January 14, 1998
PRUDENTIAL EQUITY GROUP, LLC
August 8, 1990 - April 8, 1995
UBS FINANCIAL SERVICES INC.
April 11, 1988 - August 31, 1990
LEHMAN BROTHERS INC.
March 9, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 20, 1986 - February 27, 1988
THOMSON MCKINNON SECURITIES INC.
October 30, 1984 - March 21, 1986
SUTRO & CO. INCORPORATED
March 1, 1984 - January 18, 1985
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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