Daniel M. 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.
Daniel Marc Katz, who also goes by Danny Katz, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1971. Daniel had worked at 12 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2009 - December 31, 2014
CADARET, GRANT & CO., INC.
January 29, 2007 - June 2, 2009
HERBERT J. SIMS & CO, INC.
April 29, 2002 - February 9, 2007
RYAN BECK & CO.
November 18, 1996 - May 13, 2002
GRUNTAL & CO., L.L.C.
March 5, 1992 - November 27, 1996
RYAN BECK & CO.
August 4, 1989 - February 27, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
July 26, 1989 - February 27, 1992
FIRST INSTITUTIONAL SECURITIES, L.L.C.
December 16, 1985 - July 22, 1989
ADVEST, INC.
May 13, 1985 - November 25, 1985
FIRSTMARK SECURITIES, INC.
October 20, 1981 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
January 16, 1980 - August 12, 1981
FRANK HENJES & COMPANY, INC.
January 16, 1978 - May 14, 1984
GLICKENHAUS & CO. - NEW JERSEY
January 13, 1976 - January 2, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
March 2, 1971 - February 9, 1974
CREATIVE PROGRAMS 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 1
Date: 2/25/1971
Registered Representative ExaminationSeries 00
Date: 11/24/1975
General Securities Principal ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
