Kate E. Kurz
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.
Kate Elizabeth Kurz, who also goes by Kate Kurz, Kate Steffek, was a registered financial professional .
Kate is a previously registered financial professional and started their career in finance in 2002. Kate had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - December 4, 2025
MANHATTAN WEST ASSET MANAGEMENT, LLC
December 16, 2011 - June 7, 2016
J.P. MORGAN SECURITIES LLC
December 16, 2011 - June 7, 2016
J.P. MORGAN SECURITIES LLC
June 11, 2009 - December 22, 2011
RBC CAPITAL MARKETS, LLC
June 10, 2009 - December 22, 2011
RBC CAPITAL MARKETS, LLC
March 24, 2008 - June 23, 2009
DEUTSCHE BANK SECURITIES INC.
June 16, 2005 - June 23, 2009
DEUTSCHE BANK SECURITIES INC.
April 6, 2004 - June 15, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 12, 2002 - March 30, 2004
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MANHATTAN WEST ASSET MANAGEMENT, LLC
CRD#: 283630 / SEC#: 801-107862
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
MANHATTAN WEST ASSET MANAGEMENT, LLC
CRD#: 283630 / SEC#: 801-107862
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 384 |
| AUM (Assets Under Management) | $ 1,011,698,480 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2025 | ||
| 12/20/2024 | ||
| 10/27/2023 | ||
| 01/20/2023 |
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.
