Ian S. 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.
Ian Scott Katz, who also goes by Ian Katz, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1998. Ian had worked at 9 firms and has passed the Series 63 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
April 16, 2002 - May 24, 2002
GUNNALLEN FINANCIAL, INC
May 17, 2001 - April 25, 2002
FIRST MONTAUK SECURITIES CORP.
April 13, 2000 - March 23, 2001
J.P. TURNER & COMPANY, L.L.C.
September 14, 1999 - May 9, 2000
INSTITUTIONAL EQUITY CORPORATION
May 19, 1999 - October 14, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
March 23, 1999 - April 14, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
January 22, 1999 - April 19, 1999
LH ROSS & COMPANY, INC.
October 15, 1998 - December 17, 1998
FIN-ATLANTIC SECURITIES, INC.
May 28, 1998 - October 14, 1998
WIN CAPITAL CORP.
February 12, 1998 - April 6, 1998
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
