Mark G. Fickel

Some features on this profile are disabled

CRD#: 6326228

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark G Fickel was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2014. Mark had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 5, 2019 - April 1, 2020

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

CHESAPEAKE, VA

Past

December 5, 2019 - April 1, 2020

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

CHESAPEAKE, VA

Past

December 15, 2015 - November 27, 2019

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

June 8, 2015 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

VIRGINIA BEACH, VA

Past

September 18, 2014 - November 27, 2019

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

VIRGINIA BEACH, VA

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".

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

RIA

Registered Investment Advisory firm - SEC (5/31/2001 Approved)

Alaska

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/8/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/2/2001 Terminated)

Maryland

Registered Investment Advisory firm - SEC (6/11/2001 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2001 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Nevada

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/12/2006 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/6/2001 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/12/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/7/2001 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/5/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/18/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

RIA

Registered Investment Advisory firm - SEC (5/31/2001 Approved)

Alaska

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/8/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/2/2001 Terminated)

Maryland

Registered Investment Advisory firm - SEC (6/11/2001 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2001 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Nevada

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/12/2006 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/6/2001 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/12/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/7/2001 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131

Mailing Address

10150 Meanley Drive 1st Floor, San Diego, CA, 92131

Phone number

(858) 530-4400

Established

California since 11/07/1996

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

791

SEC notice filing (53 States and Territories)

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CUSO FINANCIAL WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CFS FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 3, INC.	LIMITED PARTNER
AWS 1, LLC	GENERAL PARTNER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
MADURSKI, ANGELA JILL	FINOP
SIMONSON, MARY KATHRYN	ADVISORY CHIEF COMPLIANCE OFFICER	1297398
SIMONSON, MARY KATHRYN	CHIEF COMPLIANCE OFFICER	1297398

Regulatory assets under management

Total Number of Accounts	29,354
AUM (Assets Under Management)	$ 5,378,345,125

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark G. Fickel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUSO FINANCIAL SERVICES, L.P.

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CUSO FINANCIAL SERVICES, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/2015

Series 63

Date: 3/20/2015

SIE

Date: 10/1/2018

Series 6

Date: 9/18/2014

Current Firm

CUSO FINANCIAL SERVICES, L.P.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (6 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CUSO FINANCIAL SERVICES, L.P.

TRUST BUT VERIFY

Similar Advisors