Mark Katz is a registered investment advisor at Aegis Capital CORP., based in New York, NY, with 27 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 3,083 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Aegis Capital Corp. charges a fee based on a percentage of the assets they manage for you.
If most transaction costs are charged to you:
- First $250,000 - maximum 2.50% per year
- Next $750,000 - maximum 2.25% per year
- Over $1,000,000 - maximum 2.00% per year
If most transaction costs are charged to Aegis:
- First $250,000 - maximum 3.00% per year
- Next $750,000 - maximum 2.75% per year
- Over $1,000,000 - maximum 2.50% per year
The fee can be charged in one of three ways: Floating Rate, Incremental Rate, or Fixed Rate, as specified in your client agreement. The amount of the fee may be negotiable.
Location
1345 Avenue of the Americas, 27th Floor, New York, NY, 10105
Get directionsHistory
Regulatory History (4)
Customer Dispute
February 2024Customer Dispute
February 2020Customer Dispute
February 2020Customer Dispute
August 2016Other 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.
Aegis Capital CORP.
Aegis Capital CORP.Broker
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
Hilltop Securities INC.Broker
Hilltop Securities INC.
M. L. Stern & CO, LLC.
M.L. Stern & CO., LLC.Broker
Fortress Financial Group, LTD.Broker
State Registrations3 states
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.