Harry 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.
Harry Michael Katz, who also goes by Harry Katz, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1986. Harry had worked at 11 firms and has passed the Series 63 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2016 - May 19, 2017
EP SECURITIES, LLC
April 18, 2013 - July 2, 2014
PERSHING LLC
March 16, 2010 - August 15, 2011
EP SECURITIES, LLC
June 3, 2009 - January 29, 2010
FOREST ROAD SECURITIES BD LLC
September 19, 2007 - June 30, 2008
SCHOTTENFELD GROUP LLC
October 25, 2005 - April 5, 2006
XTF MARKET MAKING LLC
June 9, 2005 - April 5, 2006
WYNSTON HILL CAPITAL, LLC
July 1, 2002 - March 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 1, 2000 - June 26, 2002
TLW SECURITIES, LLC
August 30, 1995 - October 8, 1997
BDS SECURITIES LLC
April 7, 1993 - August 23, 1995
TULLETT PREBON FINANCIAL SERVICES LLC
June 27, 1986 - August 26, 1991
ANGLO-AMERICAN INVESTOR SERVICES CORP.
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
EP SECURITIES, LLC
CRD#: 150774 / SEC#: , 8-68297
Contact information
FINRA licenses (10 States and Territories)
Documents
Red Flags
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