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WK

William L. Katts

INTERACTIVE BROKERS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2167123
WK

Professional summary

William Lawrence Katts, who also goes by William Lawrence Katz, is a registered financial professional currently at INTERACTIVE BROKERS CORP. located in Greenwich, Connecticut.

William is registered as a RR (Registered Representative) and started their career in finance in 2003. William has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Lawrence Katz

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Lawrence Katts's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 7, 2012 - Present

INTERACTIVE BROKERS CORP.

Office #1: Pickwick Plaza, Greenwich, CT 06830
BD
CRD#: 117942
Greenwich, CT
Past

September 10, 2009 - January 27, 2012

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
NEW YORK, NY
Past

June 20, 2007 - October 2, 2009

SARATOGA CAPITAL MARKETS

BD
CRD#: 120888
NEW YORK, NY
Past

August 10, 2005 - June 19, 2007

SHORELINE TRADING GROUP LLC

BD
CRD#: 41888
EL SEGUNDO, CA
Past

May 11, 2005 - August 23, 2005

TAYLOR EXECUTION SERVICE LLC

BD
CRD#: 124429
NEW YORK, NY
Past

September 26, 2003 - July 20, 2005

EASTON TRADING GROUP LLC

BD
CRD#: 114009
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/7/2012)
RR
Alaska
(3/7/2012)
RR
Arizona
(3/7/2012)
RR
Arkansas
(3/7/2012)
RR
California
(3/7/2012)
RR
Colorado
(3/7/2012)
RR
Connecticut
(3/7/2012)
RR
Delaware
(3/7/2012)
RR
District of Columbia
(3/7/2012)
RR
Florida
(3/4/2015)
RR
Georgia
(3/7/2012)
RR
Hawaii
(3/7/2012)
RR
Idaho
(3/7/2012)
RR
Illinois
(3/7/2012)
RR
Indiana
(3/7/2012)
RR
Iowa
(3/7/2012)
RR
Kansas
(3/7/2012)
RR
Kentucky
(3/7/2012)
RR
Louisiana
(3/7/2012)
RR
Maine
(3/7/2012)
RR
Maryland
(3/7/2012)
RR
Massachusetts
(3/7/2012)
RR
Michigan
(3/7/2012)
RR
Minnesota
(3/7/2012)
RR
Mississippi
(3/7/2012)
RR
Missouri
(3/7/2012)
RR
Montana
(3/7/2012)
RR
Nebraska
(3/7/2012)
RR
Nevada
(3/7/2012)
RR
New Hampshire
(3/7/2012)
RR
New Jersey
(3/7/2012)
RR
New Mexico
(3/7/2012)
RR
New York
(3/7/2012)
RR
North Carolina
(3/8/2012)
RR
North Dakota
(3/7/2012)
RR
Ohio
(3/8/2012)
RR
Oklahoma
(3/7/2012)
RR
Oregon
(3/7/2012)
RR
Pennsylvania
(3/7/2012)
RR
Puerto Rico
(3/7/2012)
RR
Rhode Island
(3/7/2012)
RR
South Carolina
(3/7/2012)
RR
South Dakota
(3/7/2012)
RR
Tennessee
(10/23/2015)
RR
Texas
(3/4/2014)
RR
Utah
(3/7/2012)
RR
Vermont
(3/7/2012)
RR
Virgin Islands
(8/10/2017)
RR
Virginia
(3/7/2012)
RR
Washington
(3/7/2012)
RR
West Virginia
(3/7/2012)
RR
Wisconsin
(3/7/2012)
RR
Wyoming
(3/7/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/2/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/14/2005
General Securities Principal Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

IB
INTERACTIVE BROKERS CORP.
CONIFER FUTURE TRADE, LLC | INTERACTIVE BROKERS CORP. | FUTURETRADE SECURITIES, LLC | FUTURETRADE SECURITIES CORP.

CRD#: 117942 / SEC#: , 8-53615

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

Main Address
Pickwick Plaza, Greenwich, CT 06830
Mailing Address
Two Pickwick Plaza, Greenwich, CT 06830
Phone number
(203) 618-5700
Established
Delaware since 01/16/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
IB EXCHANGE CORP.OWNER
BRODY, PAUL JONATHANSECRETARY, PRINCIPAL OPERATIONS OFFICER1722066
GALIK, MILANCEO2204066
GELMAN, JONATHAN MICHAELCCO AND ROSFP5440103
MENICUCCI, JAMESPRINCIPAL FINANCIAL OFFICER6590173
SANDERS, STEVEN JAYEXECUTIVE VICE PRESIDENT SALES AND MARKETING2812548

Disclosures

Regulatory Event3

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

INTERACTIVE BROKERS CORP.

CRD#: 117942Greenwich, CT 06830

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