James C. Katzaroff
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.
James Carl Katzaroff was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 6 firms and has passed the Series 63, SIE, Series 22, Series 82, Series 3 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
December 5, 2017 - June 25, 2018
SMI CAPITAL MARKETS LLC
July 14, 1988 - April 20, 1990
NATIONAL SECURITIES CORPORATION
February 19, 1987 - July 5, 1988
UBS FINANCIAL SERVICES INC.
March 27, 1985 - February 27, 1987
E. F. HUTTON & COMPANY INC
February 26, 1985 - March 13, 1985
E. F. HUTTON & COMPANY INC
August 23, 1983 - February 8, 1985
CITIGROUP GLOBAL MARKETS INC.
February 26, 1982 - August 23, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SMI CAPITAL MARKETS LLC
CRD#: 156441 / SEC#: , 8-68794
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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