Jeffrey Katz
Professional summary
Jeffrey Katz is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Brookfield, Connecticut.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1984. Jeffrey has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Katz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
April 11, 2007 - January 20, 2012
MSI FINANCIAL SERVICES, INC.
August 1, 2003 - November 29, 2004
WALNUT STREET SECURITIES, INC.
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
August 23, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 4, 1994 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
November 12, 1993 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
August 13, 1990 - October 1, 1993
EQUITABLE ADVISORS, LLC
August 8, 1990 - October 1, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 10, 1990 - October 1, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 24, 1986 - October 1, 1993
EQUITABLE ADVISORS, LLC
June 8, 1984 - July 23, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 8, 1984 - July 23, 1990
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2013)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(12/7/2023)
(9/3/2013)
(9/11/2024)
(9/3/2013)
(7/31/2019)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
