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PK

Peter N. Katz

Some features on this profile are disabled
CRD#: 1076971
PK

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.

Peter Norman Katz was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1983. Peter had worked at 10 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 9, 2012 - June 20, 2013

WALL STREET STRATEGIES, INC.

BD
CRD#: 31268
BONITA SPRINGS, FL
Past

May 23, 2006 - October 11, 2010

USA ADVANCED PLANNERS INC.

BD
CRD#: 131282
AVON, CT
Past

August 5, 2004 - November 29, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 5, 2004 - November 29, 2004

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

November 5, 1999 - October 13, 2003

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

June 25, 1997 - July 20, 1999

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

March 1, 1996 - July 11, 1996

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

March 22, 1991 - March 1, 1996

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

November 24, 1989 - December 11, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

November 19, 1989 - December 19, 1989

OSAIC WEALTH, INC.

BD
CRD#: 23131
JERSEY CITY, NJ
Past

May 20, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

March 2, 1983 - May 27, 1986

G. R. PHELPS & CO., INC.

BD
CRD#: 173

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination

Current Firm

WS
WALL STREET STRATEGIES, INC.
SINCLAIR CAPITAL GROUP, INC. | WATERFORD TECHNOLOGY EQUITIES, INC. | WALL STREET STRATEGIES, INC.

CRD#: 31268 / SEC#: , 8-45459

BD
Cancelled by SEC on 03/17/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 01/04/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SAVAGE, GARRY NELSON SRCEO, CCO, PRESIDENT1195330
SAVAGE, GARRY NELSON JREXECUTIVE VICE PRESIDENT, FINOP, SECRETARY, TREASURER2338013
WARD, JEFFREY SCOTTVICE-PRESIDENT, FINOP2490210

Disclosures

Regulatory Event5
Arbitration2

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.

Company Information

WALL STREET STRATEGIES, INC.

CRD#: 31268

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