Mark W. Ernst

FIRST COMMAND ADVISORY SERVICES

Fort Worth, TX 76109

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CRD#: 4639815

Professional summary

Mark William Ernst, CFP®, who also goes by Mark William Ernst, Mark Ernst, 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 2003. Mark has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark William Ernst | Mark Ernst

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 William Ernst'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®

CFP^®

Certified Financial Planner

Experience

Current

July 30, 2024 - Present

FIRST COMMAND ADVISORY SERVICES

Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109

RIA

CRD#: 281958

Fort Worth, TX

Current

July 30, 2024 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109

CRD#: 3641

Fort Worth, TX

Past

August 26, 2015 - June 12, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Keller, TX

Past

August 26, 2015 - June 12, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

Lewisville, TX

Past

October 29, 2013 - June 5, 2015

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

LONE TREE, CO

Past

February 5, 2013 - October 29, 2013

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LONE TREE, CO

Past

June 28, 2011 - June 5, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

LONE TREE, CO

Past

August 25, 2009 - February 12, 2010

ECHOTRADE LLC

CRD#: 42239

PHOENIX, AZ

Past

January 23, 2008 - August 27, 2009

INVESTMENT SECURITY GROUP, INC.

RIA

CRD#: 136568

LAKEWOOD, CO

Past

April 28, 2006 - April 7, 2008

INTEGRATED CONCEPTS INC

RIA

CRD#: 106589

LAKEWOOD, CO

Past

May 5, 2005 - February 15, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HOUSTON, TX

Past

May 5, 2005 - February 15, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 26, 2004 - April 1, 2005

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

October 1, 2003 - January 29, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

October 1, 2003 - January 29, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 14, 2003 - September 26, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HOUSTON, TX

Past

April 7, 2003 - September 26, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(7/30/2024)

Texas
(7/31/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/21/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/25/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/12/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/22/2012

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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Contact information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone number

(817) 731-8621

Established

Firm type

Fiscal year end

# of Employees

1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (10/30/2024)

DESCRIPTION OF SERVICES (10/30/2024)

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.

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Advisor Monitoring

Firm Stability Insights

Mark W. Ernst

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark William Ernst's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

ECHOTRADE LLC

INVESTMENT SECURITY GROUP, INC.

INTEGRATED CONCEPTS INC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

DOMINION INVESTOR SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2013

Series 63

Date: 8/25/2011

SIE

Date: 10/1/2018

Series 7

Date: 4/3/2003

Series 10

Date: 7/12/2012

Series 9

Date: 5/22/2012

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST COMMAND ADVISORY SERVICES

TRUST BUT VERIFY

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