Role at National Investment Services of America
- Title on Schedule A
- Principal, Managing Partner
- Control
- Mark Steen is a control person of National Investment Services of America.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Mark Steen has held the filed role since January 2026.
The firm
Form ADV filed 1 May 2026
Career on record
- Passed Series 3 and SIE · 2016
- Blue Rock Advisors, LLC– · 8 yearsWayzata, MN · Adviser representative · Firm CRD 281831
- Blue Rock Advisors Inc– · 2 yearsWayzata, MN · Adviser representative · Firm CRD 109488
- Passed Series 24 · 2005
- Passed Series 7 and Series 63 · 1990
Registrations and exams
No current adviser or broker registration. Mark Steen has passed 5 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 25 October 1990 |
| Series 24 | General Securities Principal Examination | 13 October 2005 |
| SIE | Securities Industry Essentials Examination | 2 November 2016 |
| Series 3 | National Commodity Futures Examination | 18 May 2016 |
| Series 7 | General Securities Representative Examination | 18 October 1990 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Mark Frederick Steen
- CRD
- 2093368
- Registration status
- No current adviser or broker registration
- Firm bio
- nisi.net
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Mark Steen is a principal and managing partner at National Investment Services and a member of its executive committee. Official firm biography
Education
- Bachelor of Science in Business in Finance, University of Minnesota Carlson School of Management.Official firm biography
Common questions
Where does Mark Steen work?
Mark Steen has been Principal, Managing Partner of National Investment Services of America, LLC since January 2026, and is a control person of the firm.
Does Mark Steen have a current investment-adviser registration?
Mark Steen has no current investment-adviser or broker registration, as of 17 October 2026.
What exams has Mark Steen passed?
Mark Steen has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 3 and SIE. The earliest, the Series 7, was passed in October 1990.
Where was Mark Steen previously registered as an investment adviser?
Mark Steen has past investment-adviser registrations through Blue Rock Advisors, LLC, March 2016 to December 2023; Blue Rock Advisors Inc, January 2014 to March 2016, across 2 firms.
Leadership at National Investment Services of America
- Bartlett McCartinChief Executive Officer, Principal, Managing Partner, Director
- Scott Van LithChief Financial Officer
- Natalie AbbottChief Compliance Officer
- Mark AndersonChief Strategy Officer
- Jason BerrieChief Investment Officer, Director
- Robert BrooksPrincipal, Director
- John FremgenPrincipal, Managing Partner, Director
- Rebecca HarrisDirector
- Norman SidlerPrincipal, Managing Partner, Director
- Gregory StummDirector