Loren M. Katzovitz
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.
Loren Mark Katzovitz was a registered financial professional .
Loren is a previously registered financial professional and started their career in finance in 1987. Loren had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 9, Series 10, Series 24 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
October 20, 2017 - October 3, 2023
LAZARD ASSET MANAGEMENT SECURITIES LLC
April 7, 2016 - January 22, 2017
DEIMOS SECURITIES LLC
December 5, 2012 - February 10, 2015
GUGGENHEIM SECURITIES, LLC
May 26, 2010 - June 10, 2011
GUGGENHEIM SECURITIES, LLC
February 27, 2007 - June 26, 2008
CLIFDEN EQUITIES, LLC
December 3, 2003 - April 4, 2005
GUGGENHEIM INVESTOR SERVICES, LLC
April 13, 1995 - September 20, 2002
RBC CAPITAL MARKETS CORPORATION
February 26, 1993 - February 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 11, 1991 - January 15, 1993
LEHMAN BROTHERS INC.
May 1, 1987 - October 24, 1989
DB ALEX. BROWN 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
Exams
Series 55
Date: 1/4/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 10/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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