David A. Katz

LEGION PARTNERS ASSET MANAGEMENT

BEVERLY HILLS, CA 90212

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CRD#: 3253961

Professional summary

David Alan Katz is a registered financial advisor currently at LEGION PARTNERS ASSET MANAGEMENT, LLC located in Beverly Hills, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view David Alan 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®

None

Experience

Current

January 23, 2014 - Present

LEGION PARTNERS ASSET MANAGEMENT, LLC

Office #1: 9401 Wilshire Blvd Suite 705, Beverly Hills, CA 90212

RIA

CRD#: 164136

BEVERLY HILLS, CA

Past

March 16, 2010 - December 1, 2013

COMPASS NORTH ADVISORS, LLC

RIA

CRD#: 152767

SAN FRANCISCO, CA

Past

December 6, 2000 - November 9, 2005

MONTGOMERY & CO., LLC

CRD#: 42300

SANTA MONICA, CA

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".

LEGION PARTNERS ASSET MANAGEMENT, LLC

CRD#: 164136 / SEC#: 801-76750

RIA

Registered Investment Advisory firm - (6/4/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/23/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/5/2000

General Securities Representative Examination

Current Firm

LEGION PARTNERS ASSET MANAGEMENT, LLC

CRD#: 164136 / SEC#: 801-76750

RIA

Registered Investment Advisory firm - (6/4/2012 Approved)

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Contact information

Main Address

12121 Wilshire Blvd Suite 1240, Los Angeles, CA 90025

Mailing Address

Phone number

(424) 253-1774

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

LEGION PARTNERS ASSET MANAGEMENT PART 2 (10/16/2025)

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 218,764,000

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.

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David A. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGION PARTNERS ASSET MANAGEMENT, LLC

COMPASS NORTH ADVISORS, LLC

MONTGOMERY & CO., LLC

Primary Firm SEC Registration

LEGION PARTNERS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2010

Series 63

Date: 1/18/2001

Series 7

Date: 12/5/2000

Current Firm

LEGION PARTNERS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGION PARTNERS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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