Mark A. Stieve
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 Alan Stieve was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2015 - October 4, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
April 18, 2012 - November 5, 2024
LPL FINANCIAL LLC
February 12, 2008 - April 18, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
February 21, 2007 - February 11, 2008
IFMG SECURITIES, INC.
November 8, 2000 - December 3, 2001
BANCNORTH INVESTMENT GROUP, INC.
March 12, 1999 - January 30, 2007
CETERA INVESTMENT SERVICES LLC
August 17, 1993 - February 13, 1998
COMPULIFE INVESTOR SERVICES, INC.
August 1, 1991 - July 15, 1993
IFMG SECURITIES, INC.
August 9, 1989 - December 7, 1990
GAF FINANCIAL AND INSURANCE SERVICES
August 4, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
February 1, 1988 - January 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1986 - January 22, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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