Mark E. Schwartz

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CRD#: 1146698

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 Elliot Schwartz was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 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.

The advisor shows no other business activity.

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, 2021 - December 31, 2022

WEALTHSPIRE ADVISORS

RIA

CRD#: 106181

Potomac, MD

Past

February 15, 2017 - December 31, 2020

WEALTHSPIRE ADVISORS

RIA

CRD#: 168095

POTOMAC, MD

Past

May 31, 2001 - February 1, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

January 25, 1999 - February 7, 2017

TRICAPITAL ADVISORS INC

RIA

CRD#: 109224

N. BETHESDA, MD

Past

September 12, 1994 - June 4, 2001

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

September 19, 1988 - September 16, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 11, 1988 - October 4, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 22, 1983 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

WEALTHSPIRE ADVISORS

SONTAG ADVISORY LLC | WEALTHSPIRE PATHWAYS | WEALTHSPIRE ADVISORS LLC | WEALTHSPIRE ADVISORS | WEALTHSPIRE

CRD#: 106181 / SEC#: 801-49390

RIA

Registered Investment Advisory firm - (6/16/1995 Approved)

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 65

Date: 2/24/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/1/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/1999

General Securities Principal Examination

Current Firm

WEALTHSPIRE ADVISORS

SONTAG ADVISORY LLC | WEALTHSPIRE PATHWAYS | WEALTHSPIRE ADVISORS LLC | WEALTHSPIRE ADVISORS | WEALTHSPIRE

CRD#: 106181 / SEC#: 801-49390

RIA

Registered Investment Advisory firm - (6/16/1995 Approved)

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Contact information

Main Address

521 Fifth Avenue 15th Floor, New York, NY 10175

Mailing Address

Phone number

(212) 973-1200

Established

Firm type

Fiscal year end

# of Employees

335

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (11/25/2025)

Regulatory assets under management

Total Number of Accounts	8,760
AUM (Assets Under Management)	$ 25,786,873,286

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/17/2025	Cover Page	Report
08/29/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Mark E. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTHSPIRE ADVISORS

CAMBRIDGE INVESTMENT RESEARCH, INC.

TRICAPITAL ADVISORS INC

ENERIC FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

WEALTHSPIRE ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/1992

Series 63

Date: 7/12/1983

Series 3

Date: 8/1/1983

Series 7

Date: 6/18/1983

Series 24

Date: 4/14/1999

Current Firm

WEALTHSPIRE ADVISORS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WEALTHSPIRE ADVISORS

TRUST BUT VERIFY

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