MK
Mark A. Kasen
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CRD#: 264699
MK
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 Kasen was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1981. Mark had worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 1, Series 000 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
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®
NoneExperience
Past
March 20, 2008 - December 31, 2010
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
CHESTERFIELD, MO
Past
July 5, 2007 - December 31, 2010
SAXONY SECURITIES, INC.
BD
CRD#: 115547
ST. LOUIS, MO
Past
March 6, 2003 - July 15, 2005
CUTTER & COMPANY, INC.
BD
CRD#: 22449
BALLWIN, MO
Past
January 18, 2002 - February 12, 2003
PARK SOUTH SECURITIES, LLC
BD
CRD#: 103520
ISELIN, NJ
Past
March 22, 1999 - December 31, 2001
CLEARING SERVICES OF AMERICA, INC.
BD
CRD#: 23623
ST. LOUIS, MO
Past
June 9, 1992 - September 30, 1998
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
March 15, 1991 - March 26, 1992
JIM BECHERER & CO.
BD
CRD#: 6043
Past
May 23, 1989 - March 19, 1991
FIRST GATEWAY SECURITIES INC.
BD
CRD#: 22596
Past
August 9, 1988 - April 29, 1989
WESTPORT FINANCIAL GROUP, INC.
BD
CRD#: 13048
Past
July 1, 1987 - July 30, 1988
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
Past
May 21, 1985 - July 9, 1987
WESTPORT FINANCIAL GROUP, INC.
BD
CRD#: 13048
Past
April 11, 1983 - May 13, 1985
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
April 15, 1982 - May 2, 1983
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
July 16, 1981 - March 30, 1982
WZW FINANCIAL SERVICES, INC.
BD
CRD#: 5717
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".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/12/1973
Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 2/2/1973
General Securities Principal ExaminationPrincipal/Supervisory Exam
Current Firm
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11152 S Towne Square, Saint Louis, MO 63123
Mailing Address
Phone number
(314) 963-9336
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,307 |
| AUM (Assets Under Management) | $ 297,922,213 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/18/2022 |
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.
