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JK

Joel Katzman

Some features on this profile are disabled
CRD#: 2062817
JK

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.

Joel Katzman was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 1990. Joel had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I RUN A SOLE PROPRIETORSHIP CONSULTING BUSINESS DIRECTED AT INVESTORS IN HEDGE FUNDS, HEDGE FUND OR FUND OF FUND MANAGERS AND OTHER SERVICE PROVIDERS TO THE INDUSTRY. THE BUSINESS HAS NO NAME, DOES NOT EMPLY ANY OTHERS AND I HAVE NO OFFICIAL TITLE. IT BEGAN AFTER SOON AFTER MY RETIREMENT FROM JPMORGAN ON APRIL 30TH, 2005. CONTRACTS ARE SIGNED BY ME PERSONALLY. ASSIGNMENTS CAN BE INVESTMENT RELATED OR STRATEGY/BUSINESS RELATED. THE BUSINESS IS RUN OUT OF MY HOME AT 3200 SHORE DRIVE, MERRICK, NY 11566. SAMPLE ASSIGNMENTS INCLUDE PREPARATION OF A WRITTEN REPORT REVIEWING THE INVESTMENTS, INVESTMENT PROCESS AND BUSINESS PRACTICES/STRATEGY OF A FUND OF FUNDS AND RECOMMENDING IMPROVEMENTS, PARTICIPATING IN MANAGER DUE DILIGENCE MEETINGS ON BEHALF OF A FUND OF FUNDS, SERVING AS A STRATEGIC ADVISOR TO THE MANAGEMENT COMPANY OF A HEDGE FUND (BUSINESS RELATED), AND PARTICIPATING IN A STRATEGIC BUSINESS REVIEW OF A HEDGE FUND.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 31, 2016 - December 14, 2016

GALLATIN CAPITAL LLC

BD
CRD#: 124738
NEW YORK, NY
Past

December 17, 2013 - December 31, 2022

PIVOTALPATH (AMERICAS) LLC

RIA
CRD#: 169429
MERRICK, NY
Past

October 24, 2012 - December 17, 2013

GALLATIN ADVISERS LLC

RIA
CRD#: 156402
MERRICK, NY
Past

April 16, 2007 - June 30, 2014

GALLATIN CAPITAL LLC

BD
CRD#: 124738
NEW YORK, NY
Past

November 21, 2003 - April 29, 2005

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

February 10, 1997 - November 24, 2003

J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 20989
NEW YORK, NY
Past

June 21, 1990 - October 16, 1996

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/7/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/20/2001
General Securities Principal Examination

Current Firm

GC
GALLATIN CAPITAL LLC
GALLATIN CAPITAL LLC | THE SAGAMORE GROUP, LLC

CRD#: 124738 / SEC#: , 8-65718

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
444 Madison Avenue 29th Floor, New York, NY 10022
Mailing Address
444 Madison Avenue 29th Floor, New York, NY 10022
Phone number
(212) 891-7980
Established
New York since 12/04/2002
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BUSCEMI, ANTHONY RICHARDMEMBER3156872
TAMIS, JENNIFER KELLEHERPASSIVE OWNER4461249
YOUNGBLOOD, JOHN LAWRENCEMAN PRIN AND CHIEF COMPLIANCE OFFICER1335335
ADEN, DANAFINOP2780889

Disclosures

Regulatory Event1

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.

Company Information

GALLATIN CAPITAL LLC

CRD#: 124738

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