John Daniel Katzenstein
Professional Summary
John Daniel Katzenstein is a registered financial advisor currently at COGNITIVE CAPITAL, LLC located in Chicago, Illinois. John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 2 firms and has passed the Series 57TO, SIE, Series 56, Series 44, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
COGNITIVE CAPITAL, LLC
Contact Information
Main Address
141 W Jackson # 1620, Chicago, IL 60604Mailing Address
141 W Jackson # 1620, Chicago, IL 60604Phone Number
(312) 431-0400Established
Illinois since 03/22/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTHUR S. MARGULIS LIVING TRUST DATED 2/24/1998 | MANAGING MEMBER | — |
| MARK AND BETSY CARROLL FAMILY REVOCABLE TRUST | MEMBER | — |
| CARROLL, MARK WILLIAM | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, TRUSTEE | 5077727 |
| MARGULIS, ARTHUR SIDNEY JR | MANAGING PRINCIPAL, TRUSTEE | 2132364 |
| PROSKIN, DAVID S | FINANCIAL AND OPERATIONS PRINCIPAL | 5062532 |
| RIDGES, DAVID BRIAN | CHIEF TECHNOLOGY OFFICER, TRUSTEE | 4662004 |
| THE RIDGES FAMILY 2024 DECLARATION OF TRUST DATED MARCH 1, 2024 | MEMBER | — |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 56 — Proprietary Trader Qualification Examination
Passed Sep 2014Series 44 — PCX Market Maker Exam
Passed Aug 2009Series 55 — Limited Representative-Equity Trader Exam
Passed May 2006SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Daniel Katzenstein's CRS (Customer Relationship Summary).
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