Steven J. 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.
Steven Jeffery Katz, who also goes by Steve Katz, Steven Jeffrey Katz, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2016 - December 31, 2024
THE LEADERS GROUP, INC.
February 18, 2014 - January 22, 2016
OSAIC SERVICES, INC.
March 19, 2012 - December 31, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2009 - November 9, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 25, 2002 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 2, 1990 - June 21, 2002
OSAIC FS, INC.
April 4, 1985 - January 1, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
