Jennifer L. 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.
Jennifer Lee Katz was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1986. Jennifer had worked at 8 firms and has passed the Series 63, Series 7TO, SIE 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
May 29, 2024 - April 30, 2025
SUTTER SECURITIES INCORPORATED
March 25, 2021 - September 30, 2022
SUTTER SECURITIES INCORPORATED
August 11, 2020 - September 30, 2022
BOUSTEAD SECURITIES, LLC
June 27, 1997 - December 2, 1999
MILLER JOHNSON STEICHEN KINNARD, INC.
April 30, 1997 - July 1, 1997
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
March 6, 1989 - April 30, 1997
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
September 27, 1988 - March 18, 1989
INVESTMENT CONCEPTS, INC.
February 1, 1988 - October 5, 1988
OBERWEIS SECURITIES, INC.
December 26, 1986 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
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 7TO
Date: 8/10/2020
General Securities Representative ExaminationCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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