Peter M. Katz

LANTERN WEALTH ADVISORS

New York, NY

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CRD#: 1005805

Professional summary

Peter Michael Katz is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in New York, New York and HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Peter has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Brill Securities, Inc.; Investment-Related; DBA for Securities Business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Michael Katz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 29, 2024 - Present

LANTERN WEALTH ADVISORS, LLC

RIA

CRD#: 147420

New York, NY

Current

April 29, 2024 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747

CRD#: 30996

Melville, NY

Past

August 19, 2020 - May 2, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Mitchel Field, NY

Past

November 21, 2017 - May 2, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Mitchel Field, NY

Past

March 3, 2009 - November 29, 2017

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

New York, NY

Past

March 10, 2004 - April 1, 2009

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 12, 2001 - March 25, 2004

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BOCA RATON, FL

Past

May 27, 2000 - January 22, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 30, 1991 - May 27, 2000

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

May 7, 1987 - September 4, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 19, 1981 - May 13, 1987

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/29/2024)

California
(4/29/2024)

Colorado
(4/29/2024)

Connecticut
(4/29/2024)

Florida
(4/29/2024)

Georgia
(8/8/2024)

Illinois
(10/1/2025)

Louisiana
(5/6/2024)

Maryland
(10/25/2024)

Michigan
(4/29/2024)

New Jersey
(4/29/2024)

New York
(4/29/2024)

IAR

New York
(4/29/2024)

Ohio
(5/21/2024)

Pennsylvania
(4/29/2024)

Texas
(4/29/2024)

Washington
(9/9/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/18/2020

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

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Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

Phone number

(631) 454-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LANTERN WEALTH ADVISORS APPENDIX 1 - WRAP BROCHURE (3/31/2025)

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 265,466,991

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Peter M. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Michael Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

AXIOM CAPITAL MANAGEMENT, INC.

AEGIS CAPITAL CORP.

SHEARSON FINANCIAL SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

SCHRODER & CO. INC.

PRUDENTIAL EQUITY GROUP, LLC

MOSELEY SECURITIES CORPORATION

Primary Firm SEC Registration

LANTERN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2020

Series 65

Date: 11/5/1996

Series 63

Date: 4/22/1982

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1981

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANTERN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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