Derek T. 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.
Derek Todd Katz was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1998. Derek had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2011 - October 22, 2015
MOUNTAINVIEW SECURITIES, LLC
February 10, 2009 - February 7, 2011
MVCG SECURITIES, LLC
December 12, 2003 - January 18, 2008
NATIXIS SECURITIES NORTH AMERICA INC.
May 2, 2001 - April 19, 2002
CREDIT SUISSE SECURITIES (USA) LLC
December 8, 2000 - May 9, 2001
UBS SECURITIES LLC
January 22, 1998 - January 23, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
MOUNTAINVIEW SECURITIES, LLC
CRD#: 7882 / SEC#: , 8-23489
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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