Boris 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.
Boris Katz was a registered financial professional .
Boris is a previously registered financial professional and started their career in finance in 1970. Boris had worked at 11 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2002 - September 12, 2022
KENSINGTON CAPITAL CORP.
November 22, 2000 - August 14, 2002
UBS FINANCIAL SERVICES INC.
July 31, 1993 - December 6, 2000
CITIGROUP GLOBAL MARKETS INC.
November 22, 1977 - July 31, 1993
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 26, 1973 - November 8, 1974
HAYDEN STONE INC.
March 29, 1973 - October 26, 1973
H. HENTZ & CO., INC.
December 19, 1972 - April 20, 1973
PHILIPS, APPEL & WALDEN, INC.
November 20, 1970 - December 29, 1972
A. C. KLUGER & CO.
February 6, 1970 - June 13, 1972
KERN SECURITIES CORP
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 5/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/21/1961
Registered Representative ExaminationCurrent Firm
KENSINGTON CAPITAL CORP.
CRD#: 1742 / SEC#: , 8-28301
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILVER, MOSES M | CFO | 2276798 |
| SILVER, MOSES M | CHIEF AML OFFICER | 2276798 |
| SILVER, MOSES M | CHIEF EXECUTIVE OFFICER | 2276798 |
| SIMON, STUART | OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 2802977 |
| SIMON, STUART | OPTIOS PRINCIPAL | 2802977 |
| SILVER, ABRAM JOSEPH | OWNER | 1137930 |
| CIANTRO, PHILIP GERARD | FINOP | 2350685 |
| LEDERMAN, ELISHEVA MICHELLE | OPTIONS PRINCIPAL, EXECUTIVE REPRESENTATIVE | 2596584 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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