Todd E. Kata

ACCESS SECURITIES

Matthews, NC

Some features on this profile are disabled

CRD#: 2780407

Professional summary

Todd Edward Kata, who also goes by Todd Kata, is a registered financial professional currently at ACCESS SECURITIES, LLC located in Matthews, North Carolina.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1996. Todd has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.

Aliases

Todd Kata

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Edward Kata's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 16, 2026 - Present

ACCESS SECURITIES, LLC

CRD#: 22455

Matthews, NC

Past

August 14, 2025 - January 15, 2026

HOLLISTER ASSOCIATES, LLC

CRD#: 173366

MOUNT PLEASANT, SC

Past

October 5, 2023 - June 25, 2025

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672

WHITE PLAINS, NY

Past

April 18, 2022 - September 8, 2023

OCP CAPITAL, LLC

CRD#: 143381

WELLINGTON, FL

Past

August 20, 1996 - November 3, 1999

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/16/2026)

Connecticut
(7/16/2026)

Florida
(7/16/2026)

Illinois
(7/16/2026)

Massachusetts
(7/16/2026)

New Jersey
(7/16/2026)

New York
(7/16/2026)

Pennsylvania
(7/16/2026)

Texas
(7/16/2026)

Exams

State Security Law Exam

Series 63

Date: 9/20/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/16/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/1/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/16/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/19/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ACCESS SECURITIES, LLC

ACCESS SECURITIES, INC. | ACCESS SECURITIES, LLC

CRD#: 22455 / SEC#: , 8-39729

Broker-Dealer Firm Regulated by FINRA (Boston district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

140 Elm Street Suite 7, New Canaan, CT 06840

Mailing Address

140 Elm Street Suite 7, New Canaan, CT 06840

Phone number

(203) 322-3377

Established

Delaware since 05/30/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LEPERCQ DE NEUFLIZE & CO., INCORPORATED	MEMBER
CRAWFORD, SHARI JEANNE	SECRETARY (2/2024) AND CFO (01/2010), AMLCO AND GSP AND CCO	2387030
FELDMAN, RICHARD MARK	FINOP	2273453
GOING, MICHAEL LEE	PRESIDENT/CEO, GSP, SOLE MANAGER	4687384

Disclosures

Regulatory Event

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Todd E. Kata

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Edward Kata's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOLLISTER ASSOCIATES, LLC

PICKWICK CAPITAL PARTNERS, LLC

OCP CAPITAL, LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2022

Series 7TO

Date: 4/16/2022

SIE

Date: 4/1/2022

Series 55

Date: 1/16/1999

Series 7

Date: 8/19/1996

FINRA

Current Firm

ACCESS SECURITIES, LLC

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACCESS SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors