Daniel S. 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.
Daniel Steven Katz, who also goes by Daniel Steven Kat, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 13 firms and has passed the Series 63 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
March 17, 1992 - December 22, 1992
TOLUCA PACIFIC SECURITIES CORP.
December 12, 1991 - March 28, 1992
M.C. FINANCIAL CORPORATION
August 10, 1991 - November 1, 1991
FLEMMING, ANDERSON, COHEN & LEE, INC.
February 4, 1991 - March 8, 1991
J. W. GANT & ASSOCIATES, INC.
August 27, 1990 - November 5, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
August 7, 1990 - September 5, 1990
BURNETT, GREY & CO., INC.
January 31, 1990 - July 2, 1990
H.J. MEYERS & CO., INC.
December 6, 1989 - January 30, 1990
SAN MARINO SECURITIES, INC.
March 28, 1989 - April 10, 1989
ALISON, BAER SECURITIES INC.
September 19, 1988 - February 23, 1989
ALLIED CAPITAL GROUP, INC.
August 12, 1988 - August 25, 1988
J. W. GANT & ASSOCIATES, INC.
October 6, 1987 - July 23, 1988
F.D. ROBERTS SECURITIES, INC.
July 9, 1987 - October 7, 1987
BRADSTREET CAPITAL, INC.
June 24, 1987 - July 21, 1987
THE STUART-JAMES COMPANY, 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
TOLUCA PACIFIC SECURITIES CORP.
CRD#: 13875 / SEC#: , 8-29814
Contact information
Documents
Red Flags
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