Mark P. Swindell
Professional summary
Mark Philip Swindell, who also goes by Mark Swindell, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in San Antonio, Texas and FIRST COMMAND BROKERAGE SERVICES, INC. located in San Antonio, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Mark has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Philip Swindell's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2015 - Present
FIRST COMMAND ADVISORY SERVICES
Office #1: 1919 Oakwell Farms Pkwy Ste 200, San Antonio, TX 78218November 20, 2013 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 6243 I-h 10 West Suite 250, San Antonio, TX 78201-2022May 21, 2014 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, 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
(8/15/2022)
(9/24/2020)
(2/15/2022)
(1/23/2024)
(5/21/2014)
(12/15/2015)
Exams
FINRA
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
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