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Mark Katz

Aegis Capital CORP.
28 Years of Experience
Rancho Santa Fe, CA
4 DisclosuresBroker
View SEC Summary
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Mark Katz is a registered investment advisor at Aegis Capital CORP., based in Rancho Santa Fe, CA, with 28 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 3,083 clients with $1.8B in assets under management.

Aegis Capital CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
101 advisors
Number of Clients
3,083 clients
Average Client Portfolio
$577K average
Assets Under Management
$1.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.50%
$250K - $1.0M2.25%
$1M+2.00%

Rates shown are the maximums when most transaction costs are charged to the client. If transaction costs are charged to Aegis Capital Corp., the maximum rates are 3.00% on the first $250k, 2.75% on the next $750k, and 2.50% over $1M. Fees may be negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Rancho Santa Fe, CA

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2024
Settled
Customer Dispute
February 2020
Denied
Customer Dispute
February 2020
Settled
Customer Dispute
August 2016
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark is a 1099 employee of Katz Financial Services, Inc. and a member of the Rancho Santa Fe Association HOA Finance Committee, dedicating minimal time to the latter.

Employment History
Current Registrations
Aegis Capital CORP.
April 2025 - Present · 1 yr 6 mos
Aegis Capital CORP.
April 2025 - Present · 1 yr 6 mos
Aegis Capital CORP.Broker
April 2025 - Present · 1 yr 6 mos
Previous Registrations
Western International Securities
July 2019 - January 2025 · 5 yrs 6 mos
Western International Securities, INC.Broker
July 2019 - January 2025 · 5 yrs 6 mos
Hilltop Securities INC.Broker
December 2008 - June 2019 · 10 yrs 6 mos
Hilltop Securities INC.
December 2008 - June 2019 · 10 yrs 6 mos
M. L. Stern & CO, LLC.
May 2004 - December 2008 · 4 yrs 7 mos
M.L. Stern & CO., LLC.Broker
June 1998 - December 2008 · 10 yrs 6 mos
Fortress Financial Group, LTD.Broker
May 1998 - June 1998 · 1 mo
State Registrations3 states
AZCAUT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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