Larry 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.
Larry Katz was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1969. Larry had worked at 11 firms and has passed the Series 63, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2015 - August 10, 2017
NATIONAL SECURITIES CORPORATION
December 14, 2012 - May 8, 2015
B. RILEY WEALTH MANAGEMENT
June 27, 2003 - December 17, 2012
SANDERS MORRIS LLC
June 11, 2001 - July 8, 2003
KAUFMAN BROS., L.P.
January 2, 2001 - June 11, 2001
SOLID ISG CAPITAL MARKETS, LLC
October 25, 1999 - January 3, 2001
FIRST COLONIAL SECURITIES
July 3, 1986 - December 2, 1999
LADENBURG THALMANN & CO. INC.
July 5, 1977 - July 10, 1986
J.P. MORGAN SECURITIES LLC
June 13, 1972 - July 17, 1977
HAAS SECURITIES CORPORATION
March 17, 1971 - June 5, 1972
BRUNS, NORDEMAN, REA & CO.
August 12, 1969 - April 6, 1971
TPO INCORPORATED 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
PC
Date: 6/6/1977
AMEX Put and Call ExamSeries 1
Date: 1/27/1969
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
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.
