Mark Alan Umek
Professional Summary
Mark Alan Umek was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1982 - 2024. Mark had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 15, Series 3, Series 5, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
Past
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Current Firm
CAVU WEALTH MANAGEMENT | CAVU WEALTH MANAGEMENT INC.
Contact Information
Main Address
10001 Maine Ave, Lakeside, CA 92040Phone Number
(858) 360-7800# of Employees
7SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
903AUM (Assets Under Management)
$208,760,964Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
CAVU WEALTH MANAGEMENT | CAVU WEALTH MANAGEMENT INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Dec 1983Series 5 — Interest Rate Options Examination
Passed Jun 1983Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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