SK
Steven D. Katzenstein
PROSPERITY - AN EISNERAMPER COMPANY
Raleigh, NC 27607
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CRD#: 2380645
SK
Professional summary
Steven Daniel Katzenstein is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Raleigh, North Carolina and DAI SECURITIES, LLC located in Raleigh, North Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
FIXED INSURANCE AND ANNUITY SALES; POSITION: Insurance Agent NATURE: Fixed annuity and insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/2024; 1500 Sunday Drive, Suite 300, Raleigh NC 27607
CRS (Client Relationship Summary) - RIA
Click below to view Steven Daniel Katzenstein's 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®
NoneExperience
Current
August 13, 2024 - Present
PROSPERITY - AN EISNERAMPER COMPANY
Office #1: 1500 Sunday Drive Suite 300, Raleigh, NC 27607RIA
CRD#: 133777
Raleigh, NC
Current
August 7, 2024 - Present
DAI SECURITIES, LLC
Office #1: 1500 Sunday Dr Suite 300, Raleigh, NC 27607BD
CRD#: 36673
RALEIGH, NC
Past
October 25, 2019 - August 19, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
October 25, 2019 - August 19, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
RALEIGH, NC
Past
December 31, 2001 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
RALEIGH, NC
Past
September 8, 1999 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
RALEIGH, NC
Past
January 31, 1995 - August 20, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(9/4/2024)
RR
Arizona(9/4/2024)
RR
California(8/7/2024)
RR
Colorado(9/4/2024)
RR
Delaware(9/6/2024)
RR
District of Columbia(9/10/2024)
RR
Florida(8/8/2024)
RR
Georgia(8/8/2024)
RR
Illinois(4/8/2025)
RR
Indiana(9/4/2024)
RR
Kansas(8/19/2024)
RR
Louisiana(10/10/2024)
RR
Maryland(9/23/2024)
RR
Michigan(9/5/2024)
RR
Mississippi(9/5/2024)
RR
New Jersey(9/4/2024)
RR
New York(9/2/2025)
IAR
North Carolina(8/13/2024)
RR
North Carolina(9/4/2024)
RR
Ohio(8/7/2024)
RR
Pennsylvania(8/8/2024)
RR
South Carolina(9/5/2024)
RR
Tennessee(9/5/2024)
IAR
Texas(8/13/2024)
RR
Texas(11/22/2024)
RR
Virginia(9/5/2024)
RR
Washington(9/8/2025)
RR
West Virginia(9/10/2024)
RR
Wisconsin(9/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117
Mailing Address
Phone number
(410) 363-7211
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,557 |
| AUM (Assets Under Management) | $ 3,195,898,263 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROSPERITY - AN EISNERAMPER COMPANY
CRD#: 133777Raleigh, NC 27607TRUST BUT VERIFY
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