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BK

Brett A. Katzner

WOLFE RESEARCH SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 3224753
BK

Professional summary

Brett Aaron Katzner is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.

Brett is registered as a RR (Registered Representative) and started their career in finance in 2000. Brett has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Aaron Katzner'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®
None

Experience

Current

May 1, 2024 - Present

WOLFE RESEARCH SECURITIES

Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017
BD
CRD#: 151850
New York, NY
Past

July 24, 2017 - May 2, 2024

STEPHENS

BD
CRD#: 3496
NEW YORK, NY
Past

July 6, 2012 - June 22, 2017

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

February 2, 2010 - July 29, 2011

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

October 19, 2009 - November 5, 2009

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

January 30, 2009 - August 21, 2009

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

June 26, 2006 - July 17, 2007

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
NEW YORK, NY
Past

October 12, 2000 - June 21, 2006

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Alabama
(5/1/2024)
RR
Alaska
(5/1/2024)
RR
Arizona
(5/1/2024)
RR
Arkansas
(5/1/2024)
RR
California
(5/1/2024)
RR
Colorado
(5/1/2024)
RR
Connecticut
(5/1/2024)
RR
Delaware
(5/1/2024)
RR
District of Columbia
(5/1/2024)
RR
Florida
(5/1/2024)
RR
Georgia
(5/1/2024)
RR
Hawaii
(5/1/2024)
RR
Idaho
(5/1/2024)
RR
Illinois
(5/1/2024)
RR
Indiana
(5/1/2024)
RR
Iowa
(5/1/2024)
RR
Kansas
(5/1/2024)
RR
Kentucky
(5/1/2024)
RR
Louisiana
(5/1/2024)
RR
Maine
(5/1/2024)
RR
Maryland
(5/1/2024)
RR
Massachusetts
(5/1/2024)
RR
Michigan
(5/1/2024)
RR
Minnesota
(5/1/2024)
RR
Mississippi
(5/1/2024)
RR
Missouri
(5/1/2024)
RR
Montana
(5/1/2024)
RR
Nebraska
(5/1/2024)
RR
Nevada
(5/1/2024)
RR
New Hampshire
(5/1/2024)
RR
New Jersey
(5/1/2024)
RR
New Mexico
(5/1/2024)
RR
New York
(5/1/2024)
RR
North Carolina
(5/1/2024)
RR
Ohio
(5/1/2024)
RR
Oklahoma
(5/1/2024)
RR
Oregon
(5/1/2024)
RR
Pennsylvania
(5/1/2024)
RR
Rhode Island
(5/1/2024)
RR
South Carolina
(5/1/2024)
RR
South Dakota
(5/1/2024)
RR
Tennessee
(5/1/2024)
RR
Texas
(5/1/2024)
RR
Utah
(5/1/2024)
RR
Virginia
(5/1/2024)
RR
Washington
(5/1/2024)
RR
Wisconsin
(5/1/2024)
RR
Wyoming
(5/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/22/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WOLFE RESEARCH SECURITIES
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Phone number
(646) 845-0700
Established
New York since 08/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

Disclosures

Regulatory Event1

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.

Company Information

WOLFE RESEARCH SECURITIES

CRD#: 151850New York, NY 10017

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