SK
Stanley J. Katz
ONESEVEN
Beachwood, OH 44122
Some features on this profile are disabled
CRD#: 1165148
SK
Professional summary
Stanley James Katz is a registered financial advisor currently at ONESEVEN located in Beachwood, Ohio.
Stanley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stanley has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 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.
1) 9/1983 Independent Licensed insurance Agent; Investment Related; Ohio; Annuities (2) 012005 The Dayton Foundation; Non - Investment Related; 40 N Main St, Ste 500, Dayton, OH 45423; Community Foundation; Marketing Committee Member; Approx. 2 hrs / quarter; Approx. 2 hrs/ quarter during trading hours; Attend the committee meeting and offer professional insight on how to approach TDF potential customers (3) 11/2021 Fortune Financial Services, Inc.; Broker Dealer; Investment Related; Registered Representative; 10 Approx. hrs / month; 10 Approx. hrs/month during trading hours; investment and account management. (4) 11/2021 DBA: Client First Financial Strategies Inc - IAR with RIA MGO One Seven LLC; 200 approx. hrs./month; investment and account management
CRS (Client Relationship Summary) - RIA
Click below to view Stanley James Katz's 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®
NoneExperience
Current
October 28, 2021 - Present
ONESEVEN
Office #1: 24400 Chagrin Blvd. Suite 310, Beachwood, OH 44122Office #2: 3033 Kettering Blvd. Suite 326, Dayton, OH 45066RIA
CRD#: 283087
Beachwood, OH
Past
November 1, 2021 - December 31, 2024
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
Dayton, OH
Past
January 13, 2016 - December 6, 2021
ROSS, SINCLAIRE & ASSOCIATES, LLC
RIA
CRD#: 25440
CINCINNATI, OH
Past
January 13, 2016 - June 22, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
CINCINNATI, OH
Past
March 5, 2014 - December 31, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
DAYTON, OH
Past
February 27, 2012 - January 14, 2016
CLIENTFIRST FINANCIAL STRATEGIES, INC.
RIA
CRD#: 152628
DAYTON, OH
Past
December 21, 2007 - March 5, 2014
ACCESS FINANCIAL GROUP, INC.
BD
CRD#: 33065
DAYTON, OH
Past
January 15, 2003 - November 29, 2007
ACCESS FINANCIAL GROUP, INC.
BD
CRD#: 33065
DAYTON, OH
Past
November 26, 1999 - March 31, 2010
FIRST ALLIANCE ASSET MANAGEMENT INC
RIA
CRD#: 109107
DAYTON, OH
Past
April 14, 1998 - January 10, 2003
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
March 15, 1994 - April 2, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 25, 1983 - March 16, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
ON
ONESEVEN
AIM WEALTH MANAGEMENT GROUP, LLC | WOLFE WEALTH MANAGEMENT | WEALTHCREATE FINANCIAL | WEALTH SOLUTIONS | WEALTH PLANNING AND DESIGN | WE ARE ONE SEVEN, LLC | VALENTINE WEALTH ADVISORS | THE JAICKS GROUP | THE FULSHEAR WEALTH MANAGEMENT GROUP | TCWP LLC | STUDEMONT GROUP, LP | STRUCTURE WEALTH MANAGEMENT, LLC | STRUCTURE WEALTH MANAGEMENT | STRATOS INVESTMENTS OF ONESEVEN | STONE CREEK ADVISORS, LLC | STEADFAST WEALTH STRATEGIES | SHINTANI WEALTH MANAGEMENT SERVICES | S3 RETIREMENT PLANNING | ROSEHAVEN FAMILY OFFICE | ROMERO WEALTH MANAGEMENT | RISE CAPITAL | RETIREMENT PLANNING SOLUTIONS BY THE JAICKS GROUP | RESOLUTE WEALTH MANAGEMENT | REFLECTIONS LIFE INVESTMENTS LLC | REFLECTIONS LIFE INVESTMENTS | R J CAMPBELL INVESTMENTS, LLC | PONDERA WEALTH | PILLAR WEALTH GROUP, LLC | PARK CITY WEALTH ADVISORS | PALM COAST WEALTH MANAGEMENT | PACELINE ADVISORS LLC | ONESEVEN | ONE SEVEN | NORTH MOUNTAIN WEALTH MANAGEMENT, LLC | MOSKAL GROSS ORCHOSKY | MGO ONE SEVEN LLC | MGO ONE SEVEN | MGO INVESTMENT ADVISORS, INC. | MGO ADVISORS | MGO | MG ADVISORS | MCCONNELL FINANCIAL | MB WEALTH MANAGEMENT GROUP, LLC (ALSO REFERRED TO AS "MB GROUP" AND "MAWBY BRIGEMAN WEALTH MANAGEMENT GROUP") | MARTZ FINANCIAL | MAGNETIC NORTH FINANCIAL | LIFE TRANSITIONS PLANNING, LLC | LATTICE WEALTH MANAGEMENT | LAKE HOUSE PRIVATE WEALTH MANAGEMENT, INC | JTM WILLIAMS CAPITAL MANAGEMENT | JRP CAPITAL | JP INVESTMENTS LLC | J WELLINGTON FINANCIAL | IRONCLAD WEALTH MANAGEMENT, LLC | HYPERION WEALTH GROUP | HTR WEALTH MANAGEMENT | HOPE FINANCIAL GROUP, LLC | HEMLOCK WEALTH MANAGEMENT | FELDMEYER FINANCIAL GROUP | EVERGLADES PARKLAND ADVISORS, LLC | DWT WEALTH | CREATED WEALTH ADVISORY | COMMUNITY FINANCIAL ADVISORS INC. | CLIENTFIRST FINANCIAL STRATEGIES, INC | CHEN WEALTH SERVICES LLC | CAREY DITTOE WEALTH MANAGEMENT | CALLAHAN FINANCIAL | BRITTISON FINANCIAL GROUP, INC. | ALTA VERA
CRD#: 283087 / SEC#: 801-107829
RIA
Registered Investment Advisory firm - (5/16/2016 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
Illinois(12/12/2022)
IAR
Kentucky(2/8/2022)
IAR
Ohio(10/28/2021)
IAR
South Carolina(11/1/2021)
IAR
Texas(10/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
ON
ONESEVEN
AIM WEALTH MANAGEMENT GROUP, LLC | WOLFE WEALTH MANAGEMENT | WEALTHCREATE FINANCIAL | WEALTH SOLUTIONS | WEALTH PLANNING AND DESIGN | WE ARE ONE SEVEN, LLC | VALENTINE WEALTH ADVISORS | THE JAICKS GROUP | THE FULSHEAR WEALTH MANAGEMENT GROUP | TCWP LLC | STUDEMONT GROUP, LP | STRUCTURE WEALTH MANAGEMENT, LLC | STRUCTURE WEALTH MANAGEMENT | STRATOS INVESTMENTS OF ONESEVEN | STONE CREEK ADVISORS, LLC | STEADFAST WEALTH STRATEGIES | SHINTANI WEALTH MANAGEMENT SERVICES | S3 RETIREMENT PLANNING | ROSEHAVEN FAMILY OFFICE | ROMERO WEALTH MANAGEMENT | RISE CAPITAL | RETIREMENT PLANNING SOLUTIONS BY THE JAICKS GROUP | RESOLUTE WEALTH MANAGEMENT | REFLECTIONS LIFE INVESTMENTS LLC | REFLECTIONS LIFE INVESTMENTS | R J CAMPBELL INVESTMENTS, LLC | PONDERA WEALTH | PILLAR WEALTH GROUP, LLC | PARK CITY WEALTH ADVISORS | PALM COAST WEALTH MANAGEMENT | PACELINE ADVISORS LLC | ONESEVEN | ONE SEVEN | NORTH MOUNTAIN WEALTH MANAGEMENT, LLC | MOSKAL GROSS ORCHOSKY | MGO ONE SEVEN LLC | MGO ONE SEVEN | MGO INVESTMENT ADVISORS, INC. | MGO ADVISORS | MGO | MG ADVISORS | MCCONNELL FINANCIAL | MB WEALTH MANAGEMENT GROUP, LLC (ALSO REFERRED TO AS "MB GROUP" AND "MAWBY BRIGEMAN WEALTH MANAGEMENT GROUP") | MARTZ FINANCIAL | MAGNETIC NORTH FINANCIAL | LIFE TRANSITIONS PLANNING, LLC | LATTICE WEALTH MANAGEMENT | LAKE HOUSE PRIVATE WEALTH MANAGEMENT, INC | JTM WILLIAMS CAPITAL MANAGEMENT | JRP CAPITAL | JP INVESTMENTS LLC | J WELLINGTON FINANCIAL | IRONCLAD WEALTH MANAGEMENT, LLC | HYPERION WEALTH GROUP | HTR WEALTH MANAGEMENT | HOPE FINANCIAL GROUP, LLC | HEMLOCK WEALTH MANAGEMENT | FELDMEYER FINANCIAL GROUP | EVERGLADES PARKLAND ADVISORS, LLC | DWT WEALTH | CREATED WEALTH ADVISORY | COMMUNITY FINANCIAL ADVISORS INC. | CLIENTFIRST FINANCIAL STRATEGIES, INC | CHEN WEALTH SERVICES LLC | CAREY DITTOE WEALTH MANAGEMENT | CALLAHAN FINANCIAL | BRITTISON FINANCIAL GROUP, INC. | ALTA VERA
CRD#: 283087 / SEC#: 801-107829
RIA
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Contact information
Main Address
24400 Chagrin Blvd. Suite 310, Beachwood, OH 44122
Mailing Address
Phone number
(216) 865-1700
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,846 |
| AUM (Assets Under Management) | $ 4,848,322,209 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2024 |
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.
