Mark A. Czaja
Professional summary
Mark Anthony Czaja is a registered financial advisor currently at HENNION & WALSH ASSET MANAGEMENT, INC. located in Boca Raton, Florida and HENNION & WALSH, INC. located in Boca Raton, Florida.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Anthony Czaja's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2016 - Present
HENNION & WALSH ASSET MANAGEMENT, INC.
Office #1: 777 Suite 500, Boca Raton, FL 33431December 13, 2013 - Present
HENNION & WALSH, INC.
Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431February 15, 2013 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
January 7, 2013 - February 3, 2014
PMK CAPITAL ADVISORS INC
October 23, 2002 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
September 8, 1997 - March 11, 2014
INVESTMENT SCIENCES, INC.
September 30, 1991 - November 4, 2002
COMPREHENSIVE CAPITAL CORPORATION
July 11, 1988 - September 30, 1991
G. K. SCOTT & CO., INC.
August 19, 1987 - July 16, 1988
BROWNSTONE-SMITH SECURITIES CORP.
July 23, 1987 - August 14, 1987
PARKER JAMESON, INC.
October 10, 1985 - August 1, 1987
THE STUART-JAMES COMPANY, INCORPORATED
December 21, 1983 - October 21, 1985
E. F. HUTTON & COMPANY INC
May 14, 1982 - April 15, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/6/2014)
(4/18/2018)
(6/6/2019)
(7/29/2015)
(12/26/2013)
(9/1/2016)
(12/26/2013)
(12/13/2013)
(1/14/2014)
(1/9/2014)
(1/7/2014)
(1/2/2014)
(11/28/2023)
(1/16/2014)
(2/26/2025)
(1/24/2014)
(1/13/2014)
(9/25/2019)
(6/11/2019)
(2/23/2021)
(4/25/2017)
(8/6/2021)
(10/3/2023)
(8/21/2018)
Exams
FINRA
Current Firm
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
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.
Company Information
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236Boca Raton, FL 33431TRUST BUT VERIFY
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