Bernard Katz

WEALTH EFFECTS

Boynton Beach, FL

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CRD#: 1086995

Professional summary

Bernard Katz is a registered financial advisor currently at WEALTH EFFECTS located in Boynton Beach, Florida.

Bernard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Bernard has worked at 3 firms and has passed the Series 65, Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernard 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

February 17, 2023 - Present

WEALTH EFFECTS

RIA

CRD#: 315244

Boynton Beach, FL

Past

May 5, 2021 - December 31, 2022

KATZ CAPITAL MANAGEMENT

RIA

CRD#: 127392

BOYNTON BEACH, FL

Past

January 21, 1986 - November 2, 1988

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

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".

WEALTH EFFECTS

HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(2/17/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

Current Firm

WEALTH EFFECTS

HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

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Contact information

Main Address

265 Franklin Street Suite 1702, Boston, MA 02110

Mailing Address

Phone number

(617) 465-2560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH EFFECTS DISCLOSURE BROCHURE (4/4/2025)

Regulatory assets under management

Total Number of Accounts	969
AUM (Assets Under Management)	$ 405,838,000

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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Bernard Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WEALTH EFFECTS

KATZ CAPITAL MANAGEMENT

GLOBAL CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

WEALTH EFFECTS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2003

Series 63

Date: 1/23/1986

Series 7

Date: 1/18/1986

Current Firm

WEALTH EFFECTS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH EFFECTS

TRUST BUT VERIFY

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