Michael J. Katz
Professional summary
Michael Jordan Katz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Michael had worked at 15 firms, which includes CHARLES VISTA LLC, JOHN THOMAS FINANCIAL, INVESTORS CAPITAL CORP., CHASE INVESTMENT SERVICES CORP., J.H. DARBIE & CO. INC., MERCER CAPITAL LTD., BROOKSTREET SECURITIES CORPORATION, FIRST MONTAUK SECURITIES CORP., BISHOP ROSEN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., RUMSON CAPITAL LLC, LH ROSS & COMPANY INC., GRAYSON FINANCIAL LLC, CONTINENTAL BROKER-DEALER CORP., HARRISON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2011 - April 27, 2011
CHARLES VISTA LLC
December 9, 2009 - October 1, 2010
JOHN THOMAS FINANCIAL
December 5, 2008 - December 11, 2009
INVESTORS CAPITAL CORP.
December 5, 2008 - December 11, 2009
INVESTORS CAPITAL CORP.
March 26, 2008 - December 10, 2008
CHASE INVESTMENT SERVICES CORP.
December 14, 2007 - December 10, 2008
CHASE INVESTMENT SERVICES CORP.
August 27, 2007 - December 14, 2007
J.H. DARBIE & CO., INC.
September 13, 2005 - November 30, 2005
MERCER CAPITAL LTD.
September 4, 2003 - January 2, 2004
BROOKSTREET SECURITIES CORPORATION
October 30, 2002 - May 16, 2003
FIRST MONTAUK SECURITIES CORP.
July 16, 2002 - October 23, 2002
BISHOP, ROSEN & CO., INC.
April 1, 2002 - July 17, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 19, 2002 - March 28, 2002
RUMSON CAPITAL, LLC
January 17, 2002 - March 22, 2002
LH ROSS & COMPANY, INC.
January 15, 2002 - January 23, 2002
GRAYSON FINANCIAL LLC
November 15, 2001 - December 19, 2001
CONTINENTAL BROKER-DEALER CORP.
September 25, 2001 - November 15, 2001
HARRISON SECURITIES, INC.
August 9, 2001 - October 23, 2001
LADENBURG CAPITAL MANAGEMENT INC.
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
CHARLES VISTA LLC
CRD#: 132650 / SEC#: , 8-66617
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GJL HOLDINGS LLC | SOLE MEMBER | |
| BRUNO, VINCENT MICHAEL | CCO | |
| LUBITZ, JACK | FINOP- SECONDARY PRINCIPAL | 1566639 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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