Mark A. Umek

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CRD#: 1054404

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Alan Umek was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1982. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of CAVU Wealth Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1994 ADDRESS: 10001 Maine Ave, Lakeside, CA 92040, United States DESCRIPTION: CA INSURANCE AGENT OFFERING SALES OF VARIOUS INSURANCE PRODUCTS. (2) CHASM VENTURES POSITION: partner with my daughter and son-in-law NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: Angwin Plaza, Angwin CA 94508, United States DESCRIPTION: 40% OWNER OF LAUNDROMAT WITH FAMILY MEMBERS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 4, 2019 - March 8, 2024

CAVU WEALTH MANAGEMENT

RIA

CRD#: 299089

LAKESIDE, CA

Past

November 6, 2015 - February 28, 2020

CAPITAL FINANCIAL CONSULTANTS GROUP, INC.

RIA

CRD#: 133657

San Diego, CA

Past

March 4, 2013 - December 1, 2021

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

San Diego, CA

Past

December 22, 2011 - December 1, 2021

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

San Diego, CA

Past

June 25, 2008 - December 23, 2011

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

ESCONDIDO, CA

Past

December 15, 2003 - June 25, 2008

ONEAMERICA SECURITIES, INC.

CRD#: 4173

ESCONDIDO, CA

Past

April 15, 1996 - December 15, 2003

METROPOLITAN INVESTMENT SECURITIES, INC.

CRD#: 14146

SPOKANE, WA

Past

April 1, 1986 - January 27, 1988

BWS, INC.

CRD#: 17569

Past

May 26, 1984 - April 1, 1986

BIRR, WILSON & CO., INC.

CRD#: 93

Past

January 19, 1984 - June 19, 1984

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 22, 1982 - January 16, 1984

FOSTER & MARSHALL INC.

CRD#: 321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAVU WEALTH MANAGEMENT

CAVU WEALTH MANAGEMENT | CAVU WEALTH MANAGEMENT INC.

CRD#: 299089 / SEC#: 801-129732

RIA

Registered Investment Advisory firm - (3/22/2024 Approved)

Arizona

Registered Investment Advisory firm - (4/16/2024 Terminated)

California

Registered Investment Advisory firm - (5/16/2024 Terminated)

Idaho

Registered Investment Advisory firm - (4/16/2024 Terminated)

Montana

Registered Investment Advisory firm - (4/29/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/16/2024 Terminated)

Washington

Registered Investment Advisory firm - (5/16/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/1/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/11/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/1996

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 12/2/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 8/15/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 6/27/1983

Interest Rate Options Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/20/1996

Municipal Securities Principal Examination

Current Firm

CAVU WEALTH MANAGEMENT

CAVU WEALTH MANAGEMENT | CAVU WEALTH MANAGEMENT INC.

CRD#: 299089 / SEC#: 801-129732

RIA

Registered Investment Advisory firm - (3/22/2024 Approved)

Arizona

Registered Investment Advisory firm - (4/16/2024 Terminated)

California

Registered Investment Advisory firm - (5/16/2024 Terminated)

Idaho

Registered Investment Advisory firm - (4/16/2024 Terminated)

Montana

Registered Investment Advisory firm - (4/29/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/16/2024 Terminated)

Washington

Registered Investment Advisory firm - (5/16/2024 Terminated)

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Contact information

Main Address

10001 Maine Ave, Lakeside, CA 92040

Mailing Address

Phone number

(858) 360-7800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAVU WEALTH MANAGEMENT BROCHURE (2/18/2025)

Regulatory assets under management

Total Number of Accounts	859
AUM (Assets Under Management)	$ 174,988,843

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark A. Umek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL FINANCIAL CONSULTANTS GROUP, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

PACIFIC WEST SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

METROPOLITAN INVESTMENT SECURITIES, INC.

BWS, INC.

BIRR, WILSON & CO., INC.

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

Primary Firm SEC Registration

CAVU WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2013

Series 65

Date: 4/11/2000

Series 63

Date: 4/11/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/12/1996

Series 15

Date: 12/2/1983

Series 3

Date: 8/15/1983

Series 5

Date: 6/27/1983

Series 24

Date: 11/13/1996

Series 53

Date: 9/20/1996

Current Firm

CAVU WEALTH MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAVU WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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