Mark D. Steffe
Professional summary
Mark Duane Steffe is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Fort Worth, Texas and FIRST COMMAND BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 9, Series 10, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Duane Steffe's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2015 - Present
FIRST COMMAND ADVISORY SERVICES
Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109April 15, 2010 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109May 27, 2010 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
March 12, 2009 - March 19, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 12, 2009 - March 19, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 23, 2004 - October 24, 2008
UBS FINANCIAL SERVICES INC.
June 17, 2002 - February 27, 2004
UBS FINANCIAL SERVICES INC.
November 30, 2001 - October 24, 2008
UBS FINANCIAL SERVICES INC.
October 4, 2001 - November 9, 2001
QUASAR DISTRIBUTORS, LLC
September 27, 2000 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
July 25, 1994 - June 23, 2000
UBS FINANCIAL SERVICES INC.
August 13, 1993 - April 28, 1994
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2010)
(12/15/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 6/3/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
Red Flags
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