Daryn T. Katzen

Some features on this profile are disabled

CRD#: 5223448

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.

Daryn Thomas Katzen was a registered financial professional .

Daryn is a previously registered financial professional and started their career in finance in 2007. Daryn had worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 23, 2016 - September 22, 2017

ANCHOR CAPITAL

RIA

CRD#: 123543

ALISO VIEJO, CA

Past

August 20, 2014 - March 10, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 18, 2007 - April 28, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEWPORT BEACH, CA

Past

June 18, 2007 - April 28, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEWPORT BEACH, CA

Past

February 22, 2007 - July 6, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LONG BEACH, CA

Past

January 22, 2007 - July 6, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LONG BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ANCHOR CAPITAL

ANCHOR CAPITAL | ANCHOR RESEARCH, LLC | ANCHOR CAPITAL MANAGEMENT GROUP, INC.

CRD#: 123543 / SEC#: 801-61643

RIA

Registered Investment Advisory firm - (11/29/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/2/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/2/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/10/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2014

General Securities Representative Examination

Current Firm

ANCHOR CAPITAL

ANCHOR CAPITAL | ANCHOR RESEARCH, LLC | ANCHOR CAPITAL MANAGEMENT GROUP, INC.

CRD#: 123543 / SEC#: 801-61643

RIA

Registered Investment Advisory firm - (11/29/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

15 Enterprise Suite 450, Aliso Viejo, CA 92656

Mailing Address

Phone number

(800) 290-8633

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCOVERY BROCHURE 2024 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 309,644,363

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daryn T. Katzen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ANCHOR CAPITAL

State Registrations and Notice Filings

Exams

Series 63

Date: 9/2/2014

Series 66

Date: 2/2/2007

SIE

Date: 3/10/2016

Series 7

Date: 8/20/2014

Current Firm

ANCHOR CAPITAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANCHOR CAPITAL

TRUST BUT VERIFY

Similar Advisors