Mark W. Steffen

CLINTON INVESTMENT MANAGEMENT

STAMFORD, CT 06902

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CRD#: 1430657

Professional summary

Mark Walter Steffen is a registered financial advisor currently at CLINTON INVESTMENT MANAGEMENT, LLC located in Stamford, Connecticut.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 53 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Walter Steffen'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 20, 2017 - Present

CLINTON INVESTMENT MANAGEMENT, LLC

Office #1: 333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

RIA

CRD#: 143599

STAMFORD, CT

Past

November 18, 2014 - May 22, 2017

ACADEMY SECURITIES, INC.

CRD#: 17433

NEW YORK, NY

Past

March 1, 2005 - October 25, 2013

BELLE HAVEN INVESTMENTS, L.P.

RIA

CRD#: 29278

WHITE PLAINS, NY

Past

March 26, 1996 - October 25, 2013

BELLE HAVEN INVESTMENTS, L.P.

CRD#: 29278

WHITE PLAINS, NY

Past

February 3, 1995 - March 1, 1996

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

August 19, 1991 - January 4, 1995

GLICKENHAUS & CO.

CRD#: 2016

NEW YORK, NY

Past

November 1, 1985 - August 5, 1991

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

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".

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/20/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/31/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/30/1993

Municipal Securities Principal Examination

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

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Contact information

Main Address

333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

Mailing Address

Phone number

(203) 276-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLINTON INVESTMENT MANAGEMENT FORM ADV PART 2A BROCHURE MARCH 20, 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,846
AUM (Assets Under Management)	$ 3,531,162,064

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.

Contact information

xxxxx@xxxx.xxx

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Mark W. Steffen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Walter Steffen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACADEMY SECURITIES, INC.

BELLE HAVEN INVESTMENTS, L.P.

BELLE HAVEN INVESTMENTS, L.P.

RODMAN & RENSHAW INC.

GLICKENHAUS & CO.

CLAYTON BROWN & ASSOCIATES, INC.

Primary Firm SEC Registration

CLINTON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2005

Series 63

Date: 5/2/1988

SIE

Date: 5/22/2017

Series 55

Date: 5/31/2000

Series 7

Date: 10/19/1985

Series 24

Date: 6/1/1999

Series 53

Date: 9/30/1993

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLINTON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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