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ML

Mark C. Lutz

CAIS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 5342789
ML

Professional summary

Mark C Lutz is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

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 registered representative is employed by member's affiliated investment advisory firm, Madison Investment Holdings, Inc., 550 Science Drive, Madison, WI 53711 and provides services to its affiliated investment adviser firms, including Madison Investment Advisors, LLC, Madison Asset Management, LLC, and Hansberger Growth Investors, LP. See item 12 for information regarding start date and position held. Approximately 155-165 hours per month are devoted to these activities and are generally held during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark C Lutz'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

September 28, 2022 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022
BD
CRD#: 154512
NEW YORK, NY
Past

June 24, 2021 - September 29, 2022

MADISON INVESTMENT ADVISORS, LLC

RIA
CRD#: 110297
MADISON, WI
Past

March 1, 2019 - September 29, 2022

MFD DISTRIBUTOR, LLC

BD
CRD#: 44930
MADISON, WI
Past

September 9, 2013 - February 11, 2019

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(11/26/2024)
RR
Iowa
(11/26/2024)
RR
Minnesota
(11/26/2024)
RR
Nebraska
(11/26/2024)
RR
New York
(9/28/2022)
RR
North Dakota
(11/26/2024)
RR
South Dakota
(11/26/2024)
RR
Texas
(9/28/2022)
RR
Wisconsin
(9/28/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/24/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPITAL INTEGRATION SYSTEMS LLCPARENT/OWNER
BROWN, MATTHEW CRAWFORDCEO/MEMBER/EXECUTIVE REP.2160159
COLLINS, MICHAEL PATRICKCCO5366193
KRZAK, ALEXANDER JACOBPOO6349160
PARISE, JANICE DRUFINOP/PFO2338583
PREMSELAAR, MARC KLEINSENIOR MANAGING DIRECTOR5395973
SHANNON, TIMOTHY BRIANPRESIDENT4461906
WALKER, BRADLEY JAYSENIOR MANAGING DIRECTOR5000838

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.

Company Information

CAIS CAPITAL LLC

CRD#: 154512New York, NY 10022

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