Barry G. 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.
Barry Glen Katz, CFP®, who also goes by Barry Katz, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1996. Barry had worked at 2 firms and has passed the Series 2 exam.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
January 31, 2022 - December 18, 2023
PGI WEALTH MANAGEMENT
June 19, 1996 - June 6, 2022
CARATEL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PGI WEALTH MANAGEMENT
CRD#: 297517 / SEC#: 801-119808
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
Series 2
Date: 5/3/1995
Non-Member General Securities ExaminationCurrent Firm
PGI WEALTH MANAGEMENT
CRD#: 297517 / SEC#: 801-119808
Contact information
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,519 |
| AUM (Assets Under Management) | $ 932,031,197 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2023 |
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.
