MM
Marius V. Mada
USAA INVESTMENT SERVICES COMPANY
Phoenix, AZ 85085
Some features on this profile are disabled
CRD#: 6115731
MM
Professional summary
Marius V Mada, CFP®, who also goes by Marius VIorel Mada, is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in Phoenix, Arizona.
Marius is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Marius has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marius Viorel Mada
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 Marius V Mada's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marius V Mada'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®
Experience
Current
May 13, 2024 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Current
May 13, 2024 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Past
November 8, 2023 - March 26, 2024
MORGAN STANLEY
RIA
CRD#: 149777
GILBERT, AZ
Past
November 8, 2023 - March 26, 2024
MORGAN STANLEY
BD
CRD#: 149777
GILBERT, AZ
Past
December 3, 2021 - November 10, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
Past
December 3, 2021 - November 10, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
Past
August 21, 2020 - October 31, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GLENDALE, AZ
Past
July 28, 2020 - October 20, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GLENDALE, AZ
Past
June 8, 2020 - July 27, 2020
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
Phoenix, AZ
Past
January 8, 2018 - July 27, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Phoenix, AZ
Past
July 16, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
July 1, 2013 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
January 3, 2013 - June 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
November 22, 2012 - June 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
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".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas 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(5/13/2024)
RR
Alaska(5/13/2024)
RR
Arizona(5/13/2024)
IAR
Arizona(5/13/2024)
RR
Arkansas(5/13/2024)
RR
California(5/13/2024)
RR
Colorado(5/13/2024)
RR
Connecticut(5/13/2024)
RR
Delaware(5/13/2024)
RR
District of Columbia(5/13/2024)
RR
Florida(5/13/2024)
RR
Georgia(5/13/2024)
RR
Hawaii(5/13/2024)
RR
Idaho(5/13/2024)
RR
Illinois(5/13/2024)
RR
Indiana(5/13/2024)
RR
Iowa(5/13/2024)
RR
Kansas(5/13/2024)
RR
Kentucky(5/13/2024)
RR
Louisiana(5/13/2024)
RR
Maine(5/13/2024)
RR
Maryland(5/13/2024)
RR
Massachusetts(5/13/2024)
RR
Michigan(5/13/2024)
RR
Minnesota(5/13/2024)
RR
Mississippi(5/13/2024)
RR
Missouri(5/13/2024)
RR
Montana(5/13/2024)
RR
Nebraska(5/13/2024)
RR
Nevada(5/13/2024)
RR
New Hampshire(5/13/2024)
RR
New Jersey(5/13/2024)
RR
New Mexico(5/13/2024)
RR
New York(5/13/2024)
RR
North Carolina(5/13/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(5/14/2024)
RR
Oklahoma(5/13/2024)
RR
Oregon(5/13/2024)
RR
Pennsylvania(5/13/2024)
RR
Puerto Rico(5/13/2024)
RR
Rhode Island(5/13/2024)
RR
South Carolina(5/13/2024)
RR
South Dakota(5/13/2024)
RR
Tennessee(5/13/2024)
RR
Texas(5/13/2024)
IAR
Texas(5/13/2024)
RR
Utah(5/13/2024)
RR
Vermont(5/13/2024)
RR
Virgin Islands(5/13/2024)
RR
Virginia(5/13/2024)
RR
Washington(5/13/2024)
RR
West Virginia(5/13/2024)
RR
Wisconsin(5/13/2024)
RR
Wyoming(5/13/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
