Michael A. 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.
Michael Alan Katz, who also goes by Michael Katz, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
October 20, 2010 - April 20, 2015
STERNE, AGEE & LEACH, INC.
June 29, 1998 - July 12, 2010
UBS SECURITIES LLC
September 11, 1993 - June 29, 1998
SBC WARBURG DILLON READ INC.
December 13, 1989 - August 31, 1993
CITIGROUP GLOBAL MARKETS INC.
May 3, 1985 - December 20, 1989
LEHMAN BROTHERS INC.
August 22, 1984 - June 27, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 6/27/1984
Interest Rate Options ExaminationCurrent Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
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.
