Marshall J. Katz

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CRD#: 1126642

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.

Marshall Jay Katz was a registered financial professional .

Marshall is a previously registered financial professional and started their career in finance in 1983. Marshall had worked at 3 firms .

Question & Answer

Are you a "fiduciary"?

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

April 10, 1990 - February 10, 1992

LEEDS SECURITIES LTD.

CRD#: 23653

Past

April 23, 1986 - December 22, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

April 5, 1983 - January 7, 1986

GNP SECURITIES, INC.

CRD#: 11482

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

Current Firm

LEEDS SECURITIES LTD.

LEEDS SECURITIES LTD. | NORTHBROOK SECURITIES LIMITED

CRD#: 23653 / SEC#: , 8-40602

Cancelled by SEC on 03/28/1997

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Contact information

Main Address

Mailing Address

Phone number

Established

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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