Daniel S. Katz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Shepherd Katz, who also goes by Daniel S Katz, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1981. Daniel had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 1995 - March 30, 2016
APEX CAPITAL, LLC
January 22, 1990 - July 16, 1991
GLICKENHAUS & CO.
October 22, 1981 - December 31, 1989
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
APEX CAPITAL, LLC
CRD#: 134996 / SEC#: 801-71380
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
