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MK

Michael M. Katz

SEVEN POINTS CAPITAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 4351041
MK

Professional summary

Michael M. Katz is a registered financial professional currently at SEVEN POINTS CAPITAL, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 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 Michael M. 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

November 12, 2007 - Present

SEVEN POINTS CAPITAL, LLC

Office #1: 150 Third Avenue Suite 3002, New York, NY 10022
BD
CRD#: 144211
New York, NY
Past

April 18, 2001 - November 8, 2007

EQUITY TRADING ONLINE, LLC

BD
CRD#: 104038
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
New York
(11/12/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/27/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/17/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/29/2008
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SP
SEVEN POINTS CAPITAL, LLC
SEVEN POINTS CAPITAL, LLC

CRD#: 144211 / SEC#: , 8-67644

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

Main Address
150 East 52nd Street Suite 3002, New York, NY 10022
Mailing Address
150 East 52nd Street Suite 3002, New York, NY 10022
Phone number
(212) 760-0760
Established
New York since 02/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
KATZ, MICHAEL M.OWNER4351041
MANGIERI, MICHAEL HOWARDPARTNER, CEO, CCO4229177
MILLER, JOHN STEVENSONFINOP2139980

Disclosures

Regulatory Event7

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

SEVEN POINTS CAPITAL, LLC

CRD#: 144211New York, NY 10022

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