FIRST COMMAND ADVISORY SERVICES of FORT WORTH, TX is an SEC-registered investment adviser (CRD 281958). Regulatory assets under management: $24.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
Showing 25 of 33 people.
| Name | Role | Location |
|---|---|---|
| Mark Duane Steffe | PRESIDENT AND CEO | — |
| Heidi Elizabeth Cerbone | VICE PRESIDENT AND TREASURER | — |
| Tina Katherine Caddell | VICE PRESIDENT, OPERATIONS | — |
| Eric Chartan | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | — |
| Frank Dean Smith | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | — |
| Kelleen Marie Richter | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | — |
| Casey James Griffin | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Yecal Sirrod Garrett | VICE PRESIDENT, INTERIM CHIEF COMPLIANCE OFFICER | — |
| Veronica Denise Hammond | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | — |
| HENDERSON COLIN MAXWELL | TRUSTEE | — |
| SIMPSON HUGH ALAN | EXEC VICE PRES/ GENERAL COUNSEL/ SECRETARY; SECRETARY | — |
| MORRISON MICHAEL FRANCIS | CFO/ EXEC VICE PRES/ DIRECTOR | — |
| SPIKER JOHN SCOTT | CHIEF EXECUTIVE OFFICER; PRESIDENT/ CHIEF EXECUTIVE OFFICER | — |
| RICHTER LYNSEY MARIE | CHIEF MARKETING OFFICER | — |
| SMITH JEFFREY DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | — |
| DELANEY THOMAS RICHARD | SVP, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND REGULATORY RISK AND CONTROLS; VICE PRESIDENT AND REGULATORY RISK AND CONTROLS, FINOP (+1 more) | — |
| WACKERHAGEN JERRY ALAN | EXEC VICE PRESIDENT, OPERATIONS AND TECHNOLOGY | — |
| SARDHARWALA MURTAZA ABBAS | VICE PRESIDENT AND SECRETARY; VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER | — |
| HAMMOND VERONICA DENISE | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER; VICE PRESIDENT - CHIEF COMPLIANCE OFFICER; VP, CHIEF COMPLIANCE OFFICER | — |
| STEFFE MARK DUANE | EXEC VICE PRESIDENT, NATIONAL DIRECTOR, ADVISOR OPERATIONS; PRESIDENT; PRESIDENT AND CEO (+1 more) | — |
| MUNIZ LUIS ANTONIO | SVP - ADVISORY SERVICES | — |
| THERES MICHAEL JOSEPH | SVP - ADVISORY SERVICES | — |
| OLLIFF KIRK BARNER | NATIONAL DIRECTOR, ADVISOR OPERATIONS | — |
| Studdard Lance | TRUSTEE | — |
| TIMMINS JAMIE CHRISTINE | VP, FINANCIAL SERVICES/FINOP/PFO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-01-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, JOSEPH CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT HE ELECTRONICALLY AFFIXED CUSTOMER SIGNATURES TO IRA DISTRIBUTION FORMS, AUTOMATED CLEARING HOUSE (ACH) AUTHORIZATION AGREEMENTS AND ADVISORY ACCOUNT OPENING DOCUMENTS THAT HE SUBMITTED TO T… | Final | — |
| 2020-12-16 | regulatory | THE DIVISION ALLEGED FIRST COMMAND VIOLATED ?13.1-504A(II) OF THE VIRGINIA SECURITIES ACT BY EMPLOYING AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA WHO WAS NOT REGISTERED WITH THE DIVISION FROM OCTOBER 2019 TO PRESENT. | Final | $21K |
| 2020-12-16 | regulatory | THE DIVISION ALLEGED FIRST COMMAND VIOLATED §13.1-504A(II) OF THE VIRGINIA SECURITIES ACT BY EMPLOYING AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA WHO WAS NOT REGISTERED WITH THE DIVISION FROM OCTOBER 2019 TO PRESENT. | Final | $21K |
| 2019-07-25 | criminal | — | Final | — |
| 2016-02-02 | regulatory | THE REPRESENTATIVE PROVIDED MATERIALLY INCOMPLETE INFORMATION RELATED TO A 1985 MISDEMEANOR CONVICTION ON A INSURANCE LICENSING APPLICATIONS SUBMITTED TO THE STATE OF NEW YORK. SHE WAS FINED $750. THE 1985 MISDEMEANOR WAS UNRELATED TO SECURITIES, INSURANCE, OR BANKING, AND DID NOT INVOLVE FRAUD, FAL… | Final | $750 |
| 2014-04-21 | regulatory | THE STATE ALLEGES THAT FIRST COMMAND VIOLATED? 11-51-401(2), C.R.S. WHICH PROHIBITS A BROKER-DEALER FROM EMPLOYING OR ENGAGING A PERSON TO ACT AS A SALES REPRESENTATIVE UNLESS SUCH PERSON HAS A LICENSE. | Final | $63K |
| 2014-04-21 | regulatory | THE STATE ALLEGES THAT FIRST COMMAND VIOLATED§ 11-51-401(2), C.R.S. WHICH PROHIBITS A BROKER-DEALER FROM EMPLOYING OR ENGAGING A PERSON TO ACT AS A SALES REPRESENTATIVE UNLESS SUCH PERSON HAS A LICENSE. | Final | $63K |
| 2013-10-18 | regulatory | FROM THE TIME PERIOD OF OCTOBER 2006 THROUGH MAY 2012, BETWEEN ONE AND THREE ADVISORS CONDUCTED BUSINESS REQUIRING ADVISORY REGISTRATION; HOWEVER, DUE TO AN ADMINSTRATIVE ERROR, THE ADVISORS' MARYLAND STATE ADVISORY REGISTRATION LAPSED. ALL OF THE ADVISORS HAD PASSED THE QUALIFIYING EXAMINATIONS, BU… | Final | $5K |
| — | criminal | — | — | — |