Mark Stutz is a registered investment advisor, based in Charlotte, NC, with 13 years of industry experience.
Location
Charlotte, NC
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Mark is a health coach for Optavia, a private business, since September 2024. This activity requires a few hours per week and is not investment-related.
Employment History
Current Registrations
First Command Brokerage Services, INC.
September 2025 - Present · 8 mos
First Command Advisory Services
September 2025 - Present · 8 mos
First Command Brokerage Services, INC.Broker
September 2025 - Present · 8 mos
Previous Registrations
Western International Securities, INC.Broker
April 2025 - August 2025 · 4 mos
Next Financial Group, INC.Broker
April 2025 - August 2025 · 4 mos
Cuso Financial Services, L.P.
March 2024 - August 2025 · 1 yr 5 mos
Cadaret, Grant & CO., INC.Broker
October 2023 - August 2025 · 1 yr 10 mos
Sorrento Pacific Financial, LLCBroker
October 2023 - August 2025 · 1 yr 10 mos
Cuso Financial Services, L.P.Broker
October 2023 - August 2025 · 1 yr 10 mos
Cadaret Grant & CO INC
October 2023 - March 2024 · 5 mos
E*trade Capital Management, LLC
July 2019 - August 2023 · 4 yrs 1 mo
E*trade Securities LLCBroker
July 2019 - August 2023 · 4 yrs 1 mo
LPL Financial LLC
January 2017 - July 2019 · 2 yrs 6 mos
LPL Financial LLCBroker
February 2015 - July 2019 · 4 yrs 5 mos
RBC Capital Markets, LLCBroker
July 2014 - February 2015 · 7 mos
TradekingBroker
September 2012 - March 2014 · 1 yr 6 mos
Zecco Trading, INC.Broker
April 2012 - December 2012 · 8 mos
State Registrations2 states
NCTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.