Michael A. 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.
Michael Alan Katz was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 1994 - February 10, 1999
LADENBURG CAPITAL MANAGEMENT INC.
April 29, 1994 - December 22, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 17, 1992 - May 16, 1994
FIRST ASSET MANAGEMENT, INC.
November 30, 1988 - November 23, 1992
D. H. BLAIR & CO., INC.
January 4, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
August 25, 1987 - February 2, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
May 15, 1987 - September 11, 1987
THE STUART-JAMES COMPANY, INCORPORATED
December 23, 1986 - May 12, 1987
SECO WEST LIMITED
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
LADENBURG CAPITAL MANAGEMENT INC.
CRD#: 14623 / SEC#: , 8-30728
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 14 |
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.
