Mark J. Schwartz

ESTATE & TRUST ADVISORS

NORTHFIELD, IL 60093

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CRD#: 4384828

Professional summary

Mark Jeffrey Schwartz is a registered financial advisor currently at ESTATE & TRUST ADVISORS located in Northfield, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Mark has worked at 2 firms and has passed the Series 63, Series 65 and Series 6 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.

FIXED INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Jeffrey Schwartz'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

February 8, 2001 - Present

ESTATE & TRUST ADVISORS

Office #1: Two Northfield Plaza Suite 250, Northfield, IL 60093

RIA

CRD#: 123802

NORTHFIELD, IL

Past

April 17, 2001 - July 1, 2003

RE-DIRECT SECURITIES CORP

CRD#: 35518

VILLA PARK, IL

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".

ESTATE & TRUST ADVISORS

ESTATE & TRUST ADVISORS | ESTATE & TRUST ADVISORS, INC.

CRD#: 123802 / SEC#: 801-67028

RIA

Registered Investment Advisory firm - (7/21/2006 Approved)

Illinois

Registered Investment Advisory firm - (7/21/2006 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.

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

Illinois
(2/8/2001)

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: 4/23/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/4/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 4/16/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ESTATE & TRUST ADVISORS

ESTATE & TRUST ADVISORS | ESTATE & TRUST ADVISORS, INC.

CRD#: 123802 / SEC#: 801-67028

RIA

Registered Investment Advisory firm - (7/21/2006 Approved)

Illinois

Registered Investment Advisory firm - (7/21/2006 Terminated)

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Contact information

Main Address

707 Skokie Blvd Suite 300, Northbrook, IL 60062

Mailing Address

Phone number

(847) 441-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ESTATE AND TRUST ADVISORS ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	312
AUM (Assets Under Management)	$ 222,110,340

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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Mark J. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Jeffrey Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

ESTATE & TRUST ADVISORS

RE-DIRECT SECURITIES CORP

Primary Firm SEC Registration

ESTATE & TRUST ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 4/23/2001

Series 65

Date: 12/4/2000

Series 6

Date: 4/16/2001

Current Firm

ESTATE & TRUST ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ESTATE & TRUST ADVISORS

TRUST BUT VERIFY

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