Mark O. Stutz

FIRST COMMAND ADVISORY SERVICES

Charlotte, NC

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CRD#: 5984602

Professional summary

Mark Oliver Stutz, who also goes by Mark Oliver Stutz, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Charlotte, North Carolina 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 2012. Mark has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 52, Series 7, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Oliver Stutz

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.

Name of the other business: Mark Stutz Fitness Whether the business is investment-related: No Address of the other business: 3555 Woodleaf Rd, Charlotte, NC 28205 Nature of the other business: Education/Training Your position, title, or relationship with the other business: Fitness Trainer The start date of your relationship: Sep 01, 2025 The approximate number of hours/month you devote to the other business: 11 to 20 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: Coach clients on working out and nutrition to obtain the physique and weight loss goals that want to obtain. This is my own business I run on the side. I communicate with my clients and run my business through an app.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Oliver Stutz'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®

None

Experience

Current

September 16, 2025 - Present

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Charlotte, NC

Current

September 16, 2025 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

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

CRD#: 3641

Fort Worth, TX

Past

April 28, 2025 - August 1, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

April 28, 2025 - August 1, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

March 18, 2024 - August 1, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Charlotte, NC

Past

October 23, 2023 - March 18, 2024

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Charlotte, NC

Past

October 23, 2023 - August 1, 2025

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

Charlotte, NC

Past

October 23, 2023 - August 1, 2025

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Charlotte, NC

Past

October 23, 2023 - August 1, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

July 15, 2019 - August 15, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

CHARLOTTE, NC

Past

July 11, 2019 - August 14, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

CHARLOTTE, NC

Past

January 17, 2017 - July 8, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

February 20, 2015 - July 8, 2019

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 14, 2014 - February 10, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

September 13, 2012 - March 25, 2014

ALLY INVEST SECURITIES LLC

CRD#: 136131

CHARLOTTE, NC

Past

April 6, 2012 - December 20, 2012

ZECCO TRADING, INC.

CRD#: 135398

GLENDALE, CA

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

North Carolina
(9/16/2025)

IAR

North Carolina
(9/16/2025)

Texas
(9/16/2025)

IAR

Texas
(9/17/2025)

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: 1/17/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/12/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 1/23/2018

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 4/5/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/27/2018

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/3/2013

Registered Options Principal 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 O. Stutz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Oliver Stutz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

NEXT FINANCIAL GROUP, INC.

CUSO FINANCIAL SERVICES, L.P.

CADARET, GRANT & CO., INC.

SORRENTO PACIFIC FINANCIAL, LLC

CUSO FINANCIAL SERVICES, L.P.

CADARET, GRANT & CO., INC.

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RBC CAPITAL MARKETS, LLC

ALLY INVEST SECURITIES LLC

ZECCO TRADING, INC.

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/17/2017

Series 63

Date: 5/12/2012

SIE

Date: 10/1/2018

Series 52

Date: 1/23/2018

Series 7

Date: 4/5/2012

Series 53

Date: 2/27/2018

Series 24

Date: 8/25/2015

Series 4

Date: 6/3/2013

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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