Mark S. Pincus
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Steven Pincus, who also goes by Mark S Pincus, was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1986. Mark had worked at 7 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2009 - June 5, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
February 11, 2009 - June 5, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
December 16, 2005 - February 8, 2007
HORNOR, TOWNSEND & KENT, LLC
October 7, 2005 - February 8, 2007
HORNOR, TOWNSEND & KENT, LLC
August 28, 1998 - September 15, 1998
SOLOMON ADVISORS
March 26, 1992 - August 21, 1996
MOMENTUM INDEPENDENT NETWORK INC.
January 26, 1990 - April 3, 1992
PROSPERA FINANCIAL SERVICES, INC.
October 4, 1988 - February 9, 1990
CITIGROUP GLOBAL MARKETS INC.
June 25, 1986 - October 15, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
