Mark S Katz

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2024-04-15
TX	RA	APPROVED	2008-04-18

NC RA
APPROVED

Since 2024-04-15
TX RA
APPROVED

Since 2008-04-18

Branch Locations

Kamas, UT • United States

4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Houston	TX	04/2008	Present

04/2008 → Present

Ubs Financial Services Inc

Houston, TX

Previous Registrations

1993-06-24 → 2008-04-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Houston, TX

Other Businesses

1) SMAK INVESTMENTS. 4617 HUISACHE ST.BELLAIRE, TX. REAL ESTATE. VICE PRESIDENT, WRITING CHECKS, PAYING BILLS. HRS PER MONTH 0-10, DURING TRADING HRS 0. 2) Smak Investments / investment related?; yes/ 7026 Old Katy Road Ste. 201, TX, Houston, 77024 US/ Partnership/ investments / start date: 8/1/2008/ time rewd during working hours?: yes /

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-06-23

S63 Uniform Securities Agent State Law Examination

1993-06-23

View on SEC IAPD