Herman M. Katcher
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.
Herman M Katcher JR, who also goes by Jim Katcher Jr, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1967. Herman had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2006 - December 31, 2008
FFEC WEALTH PARTNERS LLC
April 18, 2002 - February 18, 2014
FFEC WEALTH PARTNERS LLC
September 4, 1990 - April 24, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
June 30, 1980 - August 14, 1989
THOMSON MCKINNON SECURITIES INC.
January 31, 1980 - May 24, 1980
UBS FINANCIAL SERVICES INC.
March 9, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
December 20, 1967 - April 26, 1979
E. F. HUTTON & COMPANY INC
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 5
Date: 4/9/1982
Interest Rate Options ExaminationPC
Date: 4/2/1979
AMEX Put and Call ExamSeries 1
Date: 12/18/1967
Registered Representative ExaminationSeries 8
Date: 4/9/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
