Mark A. Haggard
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 Haggard was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
April 15, 2019 - October 9, 2019
FIRST COMMAND ADVISORY SERVICES
April 9, 2019 - October 9, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
May 10, 2018 - August 17, 2018
EDWARD JONES
April 17, 1998 - February 11, 1999
EDWARD JONES
March 18, 1993 - April 21, 1993
CHATFIELD DEAN & CO., INC.
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
Exams
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
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.
