Alan J. 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.
Alan Jerry Katz was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2001. Alan had worked at 2 firms and has passed the Series 65, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2009 - July 29, 2010
W.R. HAMBRECHT + CO., LLC
November 12, 2007 - December 31, 2007
HAMBRECHT CAPITAL PARTNERS, LLC
September 5, 2001 - July 9, 2013
W.R. HAMBRECHT + CO., LLC
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
W.R. HAMBRECHT + CO., LLC
CRD#: 45040 / SEC#: , 8-50935
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 3 |
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.
