Joseph 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.
Joseph Katz, who also goes by Katz Martin Joseph Martin, Joe Katz, Joseph Martin Katz, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, 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
May 11, 2007 - December 31, 2009
LEUCADIA ASSET MANAGEMENT LLC
July 24, 2003 - December 31, 2005
LEUCADIA ASSET MANAGEMENT LLC
August 6, 2002 - September 24, 2021
JEFFERIES LLC
April 19, 2001 - August 28, 2002
UBS FINANCIAL SERVICES INC.
February 21, 2001 - August 28, 2002
UBS FINANCIAL SERVICES INC.
September 9, 1998 - March 7, 2001
UBS SECURITIES LLC
Primary Firm SEC Registration
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 3,056,268,327 |
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.
