Leonard N. 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.
Leonard Norman Katz, who also goes by Leonard N Katz, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1984. Leonard had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - January 9, 2017
NATIONAL SECURITIES CORPORATION
January 10, 2012 - December 31, 2016
SK MANAGEMENT CONSULTANTS, INC.
November 20, 2007 - May 26, 2016
RIDGEWAY & CONGER, INC.
August 4, 2003 - November 2, 2007
VANDERBILT SECURITIES, LLC
June 19, 1995 - July 17, 2001
PITTSBURG INSTITUTIONAL INC.
March 10, 1995 - April 25, 2003
GOLDIS FINANCIAL GROUP, INC.
August 21, 1989 - January 17, 1991
GOLDIS FINANCIAL GROUP, INC.
May 11, 1989 - November 1, 2007
GROVE POINT INVESTMENTS, LLC
March 3, 1989 - October 15, 1994
HIBBARD BROWN & CO., INC.
November 28, 1988 - April 22, 1989
CAREY JAMISON & COMPANY
May 27, 1988 - October 15, 1994
HIBBARD BROWN & CO., INC.
March 17, 1986 - February 10, 1988
BUTCHER & SINGER INC.
June 12, 1985 - March 18, 1986
CITIGROUP GLOBAL MARKETS INC.
September 26, 1984 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
