Elliot 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.
Elliot Katz was a registered financial advisor .
Elliot is a previously registered financial advisor and started their career in finance in 1984. Elliot had worked at 17 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - September 17, 2013
LAUREL WEALTH ADVISORS, INC.
December 23, 2011 - January 11, 2013
INTEGRITY ALLIANCE, LLC.
December 23, 2011 - January 11, 2013
INTEGRITY ALLIANCE, LLC.
October 13, 2011 - January 18, 2012
OPVEST WEALTH MANAGEMENT
February 24, 2011 - October 13, 2011
VISION INVESTMENT ADVISORS, LLC
December 2, 2010 - February 22, 2011
OPVEST WEALTH MANAGEMENT
August 5, 2010 - December 19, 2011
VISION BROKERAGE SERVICES, LLC
April 28, 2008 - December 3, 2010
B. RILEY WEALTH ADVISORS, INC.
April 22, 2008 - August 6, 2010
NATIONAL SECURITIES CORPORATION
February 2, 2007 - April 11, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 26, 2007 - April 11, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 24, 2005 - January 29, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 24, 2005 - January 29, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 3, 2003 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 15, 2001 - June 28, 2005
WELLS FARGO INVESTMENTS, LLC
February 21, 2001 - June 28, 2005
WELLS FARGO INVESTMENTS, LLC
July 21, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
September 22, 1997 - August 17, 1999
SUTRO & CO. INCORPORATED
July 31, 1993 - September 23, 1997
CITIGROUP GLOBAL MARKETS INC.
June 23, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 19, 1986 - May 8, 1989
TUCKER ANTHONY INCORPORATED
April 18, 1984 - June 3, 1986
MOSELEY SECURITIES CORPORATION
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 15
Date: 7/1/1986
Foreign Currency Options ExaminationSeries 8
Date: 4/16/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAUREL WEALTH ADVISORS, INC.
CRD#: 157139 / SEC#: 801-72334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,198 |
| AUM (Assets Under Management) | $ 2,383,239,170 |
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.
