Steven T. Kattke
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.
Steven Thomas Kattke, who also goes by Steve T Kattke, Steve Thomas Kattke, Steve Kattke, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1974. Steven had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2017 - December 31, 2021
STRATEGIC WEALTH GROUP
February 15, 2017 - December 31, 2021
LPL FINANCIAL LLC
September 9, 2016 - March 7, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 31, 2014 - February 17, 2017
TRADITION WEALTH MANAGEMENT LLC
March 1, 2011 - March 7, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 1, 2006 - March 2, 2011
CETERA WEALTH SERVICES, LLC
January 10, 2005 - December 15, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
February 19, 2004 - January 3, 2005
AFS BROKERAGE, INC.
March 21, 2001 - September 17, 2003
1717 CAPITAL MANAGEMENT COMPANY
June 9, 2000 - December 31, 2000
EPLANNING SECURITIES, INC.
December 23, 1999 - May 18, 2000
METROPOLITAN LIFE INSURANCE COMPANY
December 23, 1999 - May 18, 2000
MSI FINANCIAL SERVICES, INC.
April 4, 1996 - March 18, 1999
PRUCO SECURITIES, LLC.
January 17, 1995 - March 7, 1996
EQUITY SERVICES, INC.
October 16, 1982 - January 18, 1995
NYLIFE SECURITIES LLC
July 16, 1974 - November 27, 1979
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
STRATEGIC WEALTH GROUP
CRD#: 284430 / SEC#: 801-108208
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/11/1974
Registered Representative ExaminationCurrent Firm
STRATEGIC WEALTH GROUP
CRD#: 284430 / SEC#: 801-108208
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,029 |
| AUM (Assets Under Management) | $ 1,029,281,614 |
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.
