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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Mark Katz

Advisor at AEGIS CAPITAL CORP.

NEW YORK, NY | RANCHO SANTA FE, CA

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Search this name across graphsid dfx:ria:6fc4dec7-11b5-44f0-56ed-fd32022db6f0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 17, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AEGIS CAPITAL CORP.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 1, 1998
First registration: May 17, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 3055019

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AEGIS CAPITAL CORP.	Bd affiliated wealth	Apr 29, 2025	n/a	yes	NEW YORK, NY\|RANCHO SANTA FE, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jul 3, 2019	Jan 13, 2025	no	Pasadena, CA\|PASADENA, CA\|Rancho Santa Fe, CA\|Campbell, CA	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Dec 10, 2008	Jun 14, 2019	no	SAN DIEGO, CA	Previous registration
M.L. STERN & CO., LLC.	n/a	May 17, 2004	Dec 23, 2008	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTERN INTERNATIONAL SECURITIES	AEGIS CAPITAL CORP.	Jan 13, 2025	Apr 29, 2025	106	Firm change	Ibd to ibd
HILLTOP SECURITIES INC.	WESTERN INTERNATIONAL SECURITIES	Jun 14, 2019	Jul 3, 2019	19	Firm change	Ibd to RIA
M.L. STERN & CO., LLC.	HILLTOP SECURITIES INC.	Dec 23, 2008	Dec 10, 2008	-13	Bulk transfer	Other

Relationships

Registered with (4)

→ AEGIS CAPITAL CORP.Registered adviserregistration: current employment
Apr 29, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jul 3, 2019 to Jan 13, 2025factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Dec 10, 2008 to Jun 14, 2019factForm ADV
→ M.L. STERN & CO., LLC.Registered adviserregistration: previous registration
May 17, 2004 to Dec 23, 2008factForm ADV

Dated events

Occurred
Jan 13, 2025
Advisor changed firm
Mark Katz left Western International Securities for Aegis Capital Corp. (registered 2025-04-29)
Form ADVobserved 5 days ago