Mark E. Katz

KATZ FAMILY FINANCIAL ADVISORS

ALEXANDRIA, VA 22314-4522

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CRD#: 2018814

Professional summary

Mark Edward Katz is a registered financial advisor currently at KATZ FAMILY FINANCIAL ADVISORS, LLC located in Alexandria, Virginia.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Mark has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Katz's CRS (Customer Relationship Summary).

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

March 4, 2005 - Present

KATZ FAMILY FINANCIAL ADVISORS, LLC

Office #1: 3307 Duke Street, Alexandria, VA 22314-4522

RIA

CRD#: 133600

ALEXANDRIA, VA

Past

February 27, 2004 - March 24, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BETHESDA, MD

Past

February 27, 2004 - March 24, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 1, 2004 - March 10, 2004

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

February 4, 2003 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

June 12, 2001 - April 8, 2003

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

ALEXANDRIA, VA

Past

October 16, 2000 - December 31, 2002

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

April 15, 1999 - June 2, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 2, 1992 - May 6, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 13, 1990 - July 29, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

Delaware
(3/2/2022)

IAR

Louisiana
(1/7/2021)

IAR

Maryland
(3/4/2005)

IAR

New York
(1/2/2024)

IAR

Virginia
(7/20/2010)

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: 12/29/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/23/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

Current Firm

KATZ FAMILY FINANCIAL ADVISORS, LLC

CRD#: 133600 / SEC#: 801-81034

RIA

Registered Investment Advisory firm - (4/13/2023 Terminated)

California

Registered Investment Advisory firm - (4/26/2015 Terminated)

Delaware

Registered Investment Advisory firm - (3/2/2022 Approved)

District of Columbia

Registered Investment Advisory firm - (3/27/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/12/2021 Approved)

Maryland

Registered Investment Advisory firm - (8/6/2021 Approved)

New York

Registered Investment Advisory firm - (1/2/2024 Approved)

Virginia

Registered Investment Advisory firm - (8/5/2021 Approved)

Washington

Registered Investment Advisory firm - (3/31/2015 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).

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Contact information

Main Address

3307 Duke Street, Alexandria, VA 22314-4522

Mailing Address

Phone number

(301) 961-6030

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	295
AUM (Assets Under Management)	$ 106,510,950

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. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CETERA FINANCIAL SPECIALISTS LLC

CAPITAL BROKERAGE CORPORATION

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

FIRST UNION BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1995

Series 63

Date: 2/23/1990

Series 7

Date: 2/10/1990

Current Firm

KATZ FAMILY FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KATZ FAMILY FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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