Bruce B. 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.
Bruce Benjamin Katz was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1984. Bruce had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2009 - September 19, 2011
GILFORD FINANCIAL CORP.
July 17, 2009 - September 19, 2011
GILFORD SECURITIES INCORPORATED
April 11, 2007 - August 6, 2009
RAYMOND JAMES & ASSOCIATES, INC.
February 16, 2007 - August 6, 2009
RAYMOND JAMES & ASSOCIATES, INC.
March 13, 2001 - February 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2001 - February 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 1997 - January 31, 2001
PRUDENTIAL EQUITY GROUP, LLC
August 12, 1992 - February 10, 1997
UBS FINANCIAL SERVICES INC.
August 13, 1990 - August 25, 1992
CIBC WORLD MARKETS CORP.
February 18, 1987 - August 16, 1990
CITIGROUP GLOBAL MARKETS INC.
March 2, 1984 - March 7, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GILFORD FINANCIAL CORP.
CRD#: 126593 / SEC#: 801-68766
Contact information
Red Flags
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