ME
Mark S. Estep
NAVY FEDERAL INVESTMENT SERVICES
Vacaville, CA 95687
Some features on this profile are disabled
CRD#: 5150398
ME
Professional summary
Mark S Estep is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Vacaville, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mark has worked at 2 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark S Estep's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark S Estep's 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®
NoneExperience
Current
January 4, 2017 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 2031-a Harbison Drive, Vacaville, CA 95687Office #2: 141 Security Drive, Winchester, VA 22602Office #3: 1335 10th Street Se, Bldg.184, Washington, DC 20374Office #4: 6600 Montana Ave. Ste D, El Paso, TX 79925Office #5: 5600 Navy Road, Millington, TN 38053Office #6: 1140 Galaxy Drive, Ne Ste A, Lacey, WA 98516Office #7: 1007 Electric Ave, Vienna, VA 22180Office #8: 7322 Jones Maltsberger Road, Ste 136, San Antonio, TX 78209Office #9: 1171 Western Blvd, Jacksonville, NC 28546Office #10: 11270 St. Johns Industrial Parkway S, Jacksonville, FL 32246Office #11: 21 Eagle Wing Way, Garner, NC 27529Office #12: 7979 Hampton Blvd, Norfolk, VA 23505Office #13: 17030 Bernardo Center Drive, San Diego, CA 92128Office #14: 1125 South Tower Rd, Aurora, CO 80017Office #15: 24 Sailfish Dr, Groton, CT 06340Office #16: 39826 Winchester Road, Temecula, CA 92591Office #17: 1821 Fountain Dr, Reston, VA 20190Office #18: 1356-a Main Chapel Way, Gambrills, MD 21054Office #19: 3340 Nw Randall Way, Silverdale, WA 98383Office #20: 18709 Brookhurst St. Ste. A5, Fountain Valley, CA 92708Office #21: 10011 Fm 1960 Bypass Road, West Humble, TX 77338Office #22: 5898 Roswell Road, Sandy Springs, GA 30328Office #23: 15420 West Mcdowell Rd, Goodyear, AZ 85395Office #24: 4365 Imperial Avenue, San Diego, CA 92113Office #25: 1755 Sr 436, Winter Park, FL 32792Office #26: 121 Us Hwy 70w, Havelock, NC 28532Office #27: 12244 Rockville Pike, Rockville, MD 20852Office #28: 1049 E. Harriman Place, San Bernardino, CA 92408Office #29: 4180 Avenida De La Plata, Oceanside, CA 92056Office #30: 9001 W. Airport Freeway, Ste. 925, North Richland Hills, TX 76180Office #31: 657 Peary St, Newport, RI 02840Office #32: 1195 Charlie Smith Sr. Hwy, St. Marys, GA 31558Office #33: 1153 Gulf Breeze Parkway, Ste A, Gulf Breeze, FL 32561Office #34: 32885 State Route 20, Oak Harbor, WA 98277RIA
BD
CRD#: 138459
Vacaville, CA
Current
June 21, 2006 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 2031-a Harbison Drive, Vacaville, CA 95687Office #2: 141 Security Drive, Winchester, VA 22602Office #3: 1335 10th Street Se, Bldg.184, Washington, DC 20374Office #4: 6600 Montana Ave. Ste D, El Paso, TX 79925Office #5: 5600 Navy Road, Millington, TN 38053Office #6: 1140 Galaxy Drive, Ne Ste A, Lacey, WA 98516Office #7: 1007 Electric Ave, Vienna, VA 22180Office #8: 7322 Jones Maltsberger Road, Ste 136, San Antonio, TX 78209Office #9: 1171 Western Blvd, Jacksonville, NC 28546Office #10: 11270 St. Johns Industrial Parkway S, Jacksonville, FL 32246Office #11: 21 Eagle Wing Way, Garner, NC 27529Office #12: 7979 Hampton Blvd, Norfolk, VA 23505Office #13: 17030 Bernardo Center Drive, San Diego, CA 92128Office #14: 1125 South Tower Rd, Aurora, CO 80017Office #15: 24 Sailfish Dr, Groton, CT 06340Office #16: 39826 Winchester Road, Temecula, CA 92591Office #17: 1821 Fountain Dr, Reston, VA 20190Office #18: 1356-a Main Chapel Way, Gambrills, MD 21054Office #19: 3340 Nw Randall Way, Silverdale, WA 98383Office #20: 18709 Brookhurst St. Ste. A5, Fountain Valley, CA 92708Office #21: 10011 Fm 1960 Bypass Road, West Humble, TX 77338Office #22: 5898 Roswell Road, Sandy Springs, GA 30328Office #23: 15420 West Mcdowell Rd, Goodyear, AZ 85395Office #24: 4365 Imperial Avenue, San Diego, CA 92113Office #25: 1755 Sr 436, Winter Park, FL 32792Office #26: 121 Us Hwy 70w, Havelock, NC 28532Office #27: 12244 Rockville Pike, Rockville, MD 20852Office #28: 1049 E. Harriman Place, San Bernardino, CA 92408Office #29: 4180 Avenida De La Plata, Oceanside, CA 92056Office #30: 9001 W. Airport Freeway, Ste. 925, North Richland Hills, TX 76180Office #31: 657 Peary St, Newport, RI 02840Office #32: 1195 Charlie Smith Sr. Hwy, St. Marys, GA 31558Office #33: 1153 Gulf Breeze Parkway, Ste A, Gulf Breeze, FL 32561Office #34: 32885 State Route 20, Oak Harbor, WA 98277RIA
BD
CRD#: 138459
Vacaville, CA
Past
September 8, 2007 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
RIA
CRD#: 144244
VIENNA, VA
Past
September 15, 2006 - September 8, 2007
NAVY FEDERAL INVESTMENT SERVICES, LLC
RIA
CRD#: 138459
NORTH CHARLESTON, SC
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".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Alabama(3/6/2014)
RR
Alaska(3/6/2014)
RR
Arizona(3/6/2014)
RR
Arkansas(3/6/2014)
RR
California(3/6/2014)
RR
Colorado(3/6/2014)
RR
Connecticut(3/6/2014)
RR
Delaware(3/6/2014)
RR
District of Columbia(3/6/2014)
RR
Florida(3/6/2014)
RR
Georgia(3/6/2014)
RR
Hawaii(3/6/2014)
RR
Idaho(3/6/2014)
RR
Illinois(3/6/2014)
RR
Indiana(3/6/2014)
RR
Iowa(3/6/2014)
RR
Kansas(3/6/2014)
RR
Kentucky(3/6/2014)
RR
Louisiana(3/6/2014)
RR
Maine(3/6/2014)
RR
Maryland(3/6/2014)
RR
Massachusetts(3/6/2014)
RR
Michigan(3/6/2014)
RR
Minnesota(3/6/2014)
RR
Mississippi(3/6/2014)
RR
Missouri(3/6/2014)
RR
Montana(3/6/2014)
RR
Nebraska(3/6/2014)
RR
Nevada(3/6/2014)
RR
New Hampshire(3/6/2014)
RR
New Jersey(3/6/2014)
RR
New Mexico(3/6/2014)
RR
New York(3/6/2014)
RR
North Carolina(3/6/2014)
RR
North Dakota(3/6/2014)
RR
Ohio(3/6/2014)
RR
Oklahoma(3/6/2014)
RR
Oregon(3/6/2014)
RR
Pennsylvania(3/6/2014)
RR
Puerto Rico(3/6/2014)
RR
Rhode Island(3/6/2014)
RR
South Carolina(3/6/2014)
RR
South Dakota(3/6/2014)
RR
Tennessee(3/6/2014)
RR
Texas(3/6/2014)
RR
Utah(3/6/2014)
RR
Vermont(3/6/2014)
RR
Virgin Islands(3/6/2014)
RR
Virginia(9/8/2006)
IAR
Virginia(1/4/2017)
RR
Washington(3/6/2014)
RR
West Virginia(3/6/2014)
RR
Wisconsin(3/6/2014)
RR
Wyoming(3/6/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
