Charles M. 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.
Charles Max Katz, who also goes by Charles M Katz, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2017 - December 31, 2019
VOYA FINANCIAL PARTNERS, LLC
July 19, 1999 - August 1, 2000
PRUCO SECURITIES, LLC.
January 28, 1999 - May 10, 1999
BBVA COMPASS INVESTMENT SOLUTIONS, INC
April 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 30, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
April 6, 1992 - October 15, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 1985 - June 14, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
