Mark C. Schultz

INVESTMENT CAPITAL MANAGEMENT

Clinton, NJ 08809

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CRD#: 1223561

Professional summary

Mark Christopher Schultz is a registered financial advisor currently at INVESTMENT CAPITAL MANAGEMENT, INC. located in Clinton, New Jersey.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Mark has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

GENERATIONS TO COME, INC.; THE BUSINESS IS NOT INVESTMENT RELATED; ADDRESS = 12 VAN SYCKLES ROAD CLINTON, NJ 08809; GENERATIONS TO COME DOES MATHEMATICAL COMPUTATIONS SUCH AS THAT ARE NEEDED TO ESTIMATE FUTURE EXPENSES SUCH AS RETIREMENT AND COLLEGE EXPENSES; POSITION = OWNER AND PRESIDENT; START DATE = AUGUST 2001; APPROXIMATE NUMBER OF HOURS DEVOTED TO THE BUSINESS = 40 PER MONTH; APPROXIMATE NUMBER OF HOURS DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS = 20 PER MONTH; DUTIES = MANAGE THE BUSINESS AND MEET WITH PEOPLE TO ASSIST THEM WITH THE MATHEMATICAL COMPUTATIONS TO ESTIMATE FUTURE EXPENSES SUCH AS RETIREMENT AND COLLEGE EXPENSES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Christopher Schultz's CRS (Customer Relationship Summary).

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

Current

January 22, 2024 - Present

INVESTMENT CAPITAL MANAGEMENT, INC.

Office #1: 12 Van Syckles Road, Clinton, NJ 08809

RIA

CRD#: 112691

Clinton, NJ

Past

July 2, 2002 - December 31, 2023

INVESTMENT CAPITAL MANAGEMENT, INC.

RIA

CRD#: 112691

CLINTON, NJ

Past

December 20, 2000 - February 3, 2025

ALMAX FINANCIAL SOLUTIONS, LLC

CRD#: 104356

CLINTON, NJ

Past

July 18, 2000 - January 18, 2001

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

July 31, 1992 - July 12, 2000

YOUR MONEY MATTERS BROKERAGE SERVICES, INC.

CRD#: 28476

SOMERSET, NJ

Past

February 9, 1990 - September 16, 1992

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

November 16, 1989 - February 21, 1990

FOCUS II SECURITIES, INC.

CRD#: 25068

Past

October 28, 1988 - December 11, 1989

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

January 27, 1987 - November 16, 1988

FOCUS SECURITIES, INC.

CRD#: 15023

Past

January 10, 1984 - February 3, 1987

PFS INVESTMENTS INC.

CRD#: 10111

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/22/2024)

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

Series 63

Date: 1/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/9/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/16/1993

Investment Company Products/Variable Contracts Principal Examination

Current Firm

INVESTMENT CAPITAL MANAGEMENT, INC.

CRD#: 112691 / SEC#:

New Jersey

Registered Investment Advisory firm - (11/3/1994 Approved)

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Contact information

Main Address

12 Van Syckles Road, Clinton, NJ 08809

Mailing Address

Phone number

(800) 966-6664

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 6,442,121

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 C. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Christopher Schultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT CAPITAL MANAGEMENT, INC.

ALMAX FINANCIAL SOLUTIONS, LLC

CADARET, GRANT & CO., INC.

YOUR MONEY MATTERS BROKERAGE SERVICES, INC.

CADARET, GRANT & CO., INC.

FOCUS II SECURITIES, INC.

CADARET, GRANT & CO., INC.

FOCUS SECURITIES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 1/9/1984

Series 26

Date: 4/16/1993

Current Firm

INVESTMENT CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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