Mark R. Schaaf

B & V ADVISORS

Kingwood, TX

Some features on this profile are disabled

CRD#: 4461660

Professional summary

Mark Richard Schaaf is a registered financial advisor currently at B & V ADVISORS, LLC located in Kingwood, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Mark has worked at 3 firms and has passed the 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.

CROWE LLP, CPA FIRM, INDEPENDENT CONSULTANT, 9 GREENWAY PLAZA, SUITE 1700, HOUSTON, TX 77046. HE SPENDS LESS THAN 10% OF HIS TIME PROVIDING CONSULTING SERVICES TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Schaaf'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 2, 2009 - Present

B & V ADVISORS, LLC

RIA

CRD#: 148810

Kingwood, TX

Past

November 20, 2001 - December 31, 2008

WILLIS JOHNSON & ASSOCIATES, INC.

RIA

CRD#: 119759

HOUSTON, TX

Past

October 23, 2001 - September 8, 2008

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

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

Texas
(1/2/2009)

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: 11/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/22/2001

General Securities Representative Examination

Current Firm

B & V ADVISORS, LLC

CRD#: 148810 / SEC#:

Texas

Registered Investment Advisory firm - (1/1/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Kingwood, TX

Mailing Address

Phone number

(281) 744-9900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark R. Schaaf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Schaaf's CRS (Customer Relationship Summary).

Certified licenses

Experience

B & V ADVISORS, LLC

WILLIS JOHNSON & ASSOCIATES, INC.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/19/2001

Series 7

Date: 10/22/2001

Current Firm

B & V ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

B & V ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors