David I. 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.
David Ian Katz, who also goes by David I Katz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 3 firms and has passed the Series 65, 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
January 19, 2011 - June 13, 2013
MAZARS WEALTH ADVISORS
March 12, 1999 - March 14, 2005
CITIGROUP GLOBAL MARKETS INC.
May 22, 1997 - March 16, 1999
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
MAZARS WEALTH ADVISORS
CRD#: 133936 / SEC#: 801-63968
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
MAZARS WEALTH ADVISORS
CRD#: 133936 / SEC#: 801-63968
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 193,303,538 |
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.
