Alan I. 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.
Alan Ira Katz was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 5 firms and has passed the Series 63 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2008 - February 11, 2013
BLACKROCK CAPITAL MARKETS, LLC
November 28, 2007 - March 13, 2014
BLACKROCK INVESTMENTS, LLC
November 16, 1988 - October 12, 2006
FAM DISTRIBUTORS, INC.
May 14, 1986 - February 26, 1987
WALSH, GREENWOOD & CO.
December 8, 1983 - January 20, 1986
SCHRODER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/24/1998
Limited Representative-Equity Trader ExamCurrent Firm
BLACKROCK CAPITAL MARKETS, LLC
CRD#: 146514 / SEC#: , 8-67827
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK, INC. | SOLE MEMBER | |
| FINK, LAURENCE DOUGLAS | DIRECTOR | 830137 |
| KAPITO, ROBERT S | DIRECTOR | 728399 |
| MONTENECOURT, GENE EDWARD | CHIEF COMPLIANCE OFFICER | 3230216 |
| PATHAK, SAURABH P | CHIEF FINANCIAL OFFICER AND FINOP | 5920712 |
| VOGEL, CHRISTOPHER JOHN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 4401579 |
| WALTCHER, DANIEL R | DIRECTOR |
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.
