Walter M. Katai
Professional summary
Walter Michael Katai was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter Michael Katai was a registered financial advisor .
Walter is a previously registered financial advisor and started their career in finance in 1988. Walter had worked at 6 firms and has passed the Series 65, Series 63, Series 3 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
January 29, 2010 - June 8, 2010
PURSHE KAPLAN STERLING INVESTMENTS
November 3, 2009 - June 7, 2010
CAPITAL INSIGHT PARTNERS, LLC
June 1, 2009 - November 13, 2009
MORGAN STANLEY
June 1, 2009 - November 13, 2009
MORGAN STANLEY
April 22, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 23, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
June 22, 1988 - November 9, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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