Bruce J. 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.
Bruce Joseph Katz, who also goes by Bruce J Katz, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1972. Bruce had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 000, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2000 - July 31, 2015
NATIONAL SECURITIES CORPORATION
April 28, 1998 - February 16, 2000
PROFESSIONAL CONCEPTS & PLANNING, INC.
January 16, 1998 - March 25, 1998
RENAISSANCE FINANCIAL SECURITIES CORP.
August 18, 1989 - January 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 26, 1986 - July 20, 1987
JSC SECURITIES, INC.
October 23, 1983 - March 7, 1985
MORGAN STANLEY DW INC.
August 27, 1980 - November 7, 1983
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1979 - September 15, 1980
CITIGROUP GLOBAL MARKETS INC.
September 12, 1978 - May 6, 1985
MOSELEY SECURITIES CORPORATION
September 14, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
March 7, 1975 - September 23, 1976
MOORE & SCHLEY, CAMERON & CO.
July 22, 1974 - April 20, 1975
EDWARDS & HANLY
July 13, 1972 - March 24, 1986
THOMSON MCKINNON SECURITIES INC.
March 1, 1972 - August 10, 1974
LOEB RHOADES & CO
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 55
Date: 5/28/1999
Limited Representative-Equity Trader ExamSeries 000
Date: 7/13/1972
General Securities Principal ExaminationSeries 1
Date: 2/28/1972
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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