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SK

Scott A. Katzmann

ARCADIA SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 1087840
SK

Professional summary

Scott Alan Katzmann is a registered financial professional currently at ARCADIA SECURITIES, LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1983. Scott has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Scott Alan Katzmann'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

May 30, 2019 - Present

ARCADIA SECURITIES, LLC

Office #1: 600 Lexington Avenue 30th Floor, New York, NY 10022
BD
CRD#: 44656
New York, NY
Past

January 15, 2016 - May 25, 2019

CIM SECURITIES, LLC

BD
CRD#: 120852
New York, NY
Past

November 5, 2013 - December 28, 2015

BROOKLINE GROUP, LLC

BD
CRD#: 153587
NEW YORK CITY, NY
Past

March 8, 2011 - November 1, 2013

OPUS POINT & CO., LLC

BD
CRD#: 150077
NEW YORK, NY
Past

March 25, 1993 - February 17, 2011

PARAMOUNT BIOCAPITAL, INC.

BD
CRD#: 29795
NEW YORK, NY
Past

January 19, 1983 - March 18, 1993

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/30/2019)
RR
Colorado
(3/13/2020)
RR
Connecticut
(5/30/2019)
RR
Florida
(1/28/2020)
RR
Idaho
(6/3/2024)
RR
Illinois
(5/30/2019)
RR
Maryland
(6/13/2019)
RR
Massachusetts
(2/26/2020)
RR
Nevada
(6/11/2024)
RR
New Jersey
(5/30/2019)
RR
New York
(5/30/2019)
RR
North Carolina
(12/6/2024)
RR
Pennsylvania
(7/1/2019)
RR
Tennessee
(7/31/2024)
RR
Texas
(2/26/2020)
RR
Virginia
(2/12/2020)
RR
Washington
(6/30/2019)
RR
Wyoming
(6/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/27/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ARCADIA SECURITIES, LLC
ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Phone number
(212) 231-4101
Established
New York since 11/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIKIS, THOMAS PETERMANAGER, SOLE MEMBER, GSP & PRESIDENT1198536
CHRISTAKOS, BASILCHIEF COMPLIANCE OFFICER2290795
KONTULIS, CHARLES PHEDON IIMANAGING DIRECTOR1327613
KONTULIS, CHARLES PHEDON IIROSFP1327613
SCHILLING, MICHAEL JAMESFINOP, PFO, POO2609624

Disclosures

Regulatory Event1

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

ARCADIA SECURITIES, LLC

CRD#: 44656New York, NY 10022

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