Mark William Kaplowitz
Professional Summary
Mark William Kaplowitz was a registered financial advisor. Mark was a previously registered financial advisor and started their career in finance 1996 - 2011. Mark had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
HARRISON DOUGLAS, INC. | SAVILLE, DRASKOVIC & ASSOC., LTD. | SAVILLE FINANCIAL GROUP, INC.
Contact Information
Established
Colorado since 09/13/1996Firm Type
CorporationFiscal Year End
JuneDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
8Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1996About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2000About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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