JK
Jonathan E. Katz
INTERNATIONAL ASSETS ADVISORY
Orlando, FL 32801
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CRD#: 2810729
JK
Professional summary
Jonathan Emil Katz is a registered financial professional currently at INTERNATIONAL ASSETS ADVISORY, LLC located in Orlando, Florida.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1996. Jonathan has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Emil Katz's 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®
NoneExperience
Current
February 1, 2019 - Present
INTERNATIONAL ASSETS ADVISORY, LLC
Office #1: 111 North Orange Ave. Suite 1000, Orlando, FL 32801RIA
BD
CRD#: 10645
Orlando, FL
Past
March 20, 2017 - December 31, 2018
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
July 10, 2012 - January 30, 2017
DELTA SECURITIES COMPANY LLC
BD
CRD#: 145511
ORLANDO, FL
Past
April 29, 2010 - April 27, 2012
HOULIHAN LOKEY ADVISORS, LLC
BD
CRD#: 127835
NEW YORK, NY
Past
October 3, 2000 - September 24, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
December 12, 1996 - November 13, 1997
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
RIA
Registered Investment Advisory firm - SEC (7/21/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
New York(2/14/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
RIA
Registered Investment Advisory firm - SEC (7/21/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Phone number
(407) 254-1500
Established
Florida since 07/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645Orlando, FL 32801TRUST BUT VERIFY
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