John D. Katzenstein
Professional summary
John Daniel Katzenstein is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Daniel Katzenstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2024 - Present
COGNITIVE CAPITAL, LLC
Office #1: 141 W Jackson # 1620, Chicago, IL 60604Office #2: 141 W Jackson Blvd # 1620, Chicago, IL 60604September 9, 2014 - June 28, 2024
COGNITIVE CAPITAL, LLC
March 4, 2005 - February 25, 2011
OCTEG, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 9/9/2014
Proprietary Trader Qualification ExaminationSeries 44
Date: 8/26/2009
PCX Market Maker ExamSeries 55
Date: 5/24/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
COGNITIVE CAPITAL, LLC
CRD#: 131272 / SEC#: , 8-66442
Contact information
Documents
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 | |
| THE M & C BUCKLEY FAMILY REVOCABLE TRUST DATED 10/13/2020 | MEMBER | |
| BUCKLEY, MATTHEW EDWARD | TRADING MANAGER, TRUSTEE | 5130690 |
| CARROLL, MARK WILLIAM | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, TRUSTEE | 5077727 |
| MARGULIS, ARTHUR SIDNEY JR | MANAGING PRINCIPAL, TRUSTEE | 2132364 |
| RIDGES, DAVID BRIAN | CHIEF TECHNOLOGY OFFICER, TRUSTEE | 4662004 |
| THE RIDGES FAMILY 2024 DECLARATION OF TRUST DATED MARCH 1, 2024 | MEMBER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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