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Mark Walter Steffen

Clinton Investment Management, LLC

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About Mark Walter Steffen

Mark Walter Steffen is an investment advisor representative with Clinton Investment Management, LLC in STAMFORD, Connecticut. Mark has been in the industry for over 30 years and holds the Series 63, 65, 7, 24 and 53 licenses. Mark has previously been registered with Academy Securities, Inc., Belle Haven Investments, L.P., Rodman & Renshaw Inc. and Glickenhaus & Co. Mark focuses on providing portfolio management services for individuals, businesses and investment companies.

Firm Information

Mark Steffen is currently registered with Clinton Investment Management, LLC. Clinton Investment Management, LLC is an investment advisor based in Stamford, CT, with $2.85 billion in regulatory assets under management. The firm provides portfolio management services for individuals, businesses, and investment companies. They also offer wrap fee programs. Their client base includes high-net-worth individuals, corporations, and investment companies.
Clinton Investment Management, LLC

333 LUDLOW STREET

STAMFORD, CT 06902

$2.85B

Assets Under Management

Not reported

Total Clients

11

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Steffen’s Registration & Firm History

CT

07/20/2017 - Present

Clinton Investment Management, LLC (STAMFORD CT)

NY

11/18/2014 - 05/22/2017

ACADEMY SECURITIES, INC. (NEW YORK NY)

NY

03/26/1996 - 10/25/2013

BELLE HAVEN INVESTMENTS, L.P. (WHITE PLAINS NY)

IL

02/03/1995 - 03/01/1996

RODMAN & RENSHAW INC. (CHICAGO IL)

NY

08/19/1991 - 01/04/1995

GLICKENHAUS & CO. (NEW YORK NY)

IL

11/01/1985 - 08/05/1991

CLAYTON BROWN & ASSOCIATES, INC. (CHICAGO IL)

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Licenses & Designations

IA

Issued 02/28/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/02/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/01/1999

Series 24 - General Securities Principal Examination

BC

Issued 09/30/1993

Series 53 - Municipal Securities Principal Examination

BC

Issued 05/22/2017

SIE - Securities Industry Essentials Examination

BC

Issued 05/31/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/19/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Mark Walter Steffen.
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