Benjamin A. 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.
Benjamin Aaron Katz, who also goes by Ben A Katz, Benjamin A Katz, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1994. Benjamin had worked at 8 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2021 - August 23, 2021
CADARET, GRANT & CO., INC.
April 7, 2021 - August 23, 2021
CADARET, GRANT & CO., INC.
March 1, 2018 - October 5, 2021
CEDAR BROOK GROUP
September 7, 2005 - April 13, 2021
SECURITIES AMERICA ADVISORS, INC.
September 2, 2005 - April 13, 2021
SECURITIES AMERICA, INC.
May 21, 2002 - September 2, 2005
OSAIC FA, INC.
May 1, 2001 - September 2, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 1, 2001 - September 2, 2005
OSAIC FA, INC.
May 20, 1996 - May 11, 2001
ROBERT W. BAIRD & CO. INCORPORATED
August 26, 1994 - May 11, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
