David S. Katz
STRATEGIC ADVISERS LLC | Planning Consultant
NEW BEDFORD, MA
Some features on this profile are disabled
CRD#: 5251310
Professional summary
David Solomon Katz, who also goes by David Solomon Katz, David Katz, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in New Bedford, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Hingham, Massachusetts.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. David has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Biography
I am passionate about partnering with clients to secure their desired future. This starts with gaining a meaningful understanding of each client's goals and priorities so we can customize a plan and investment strategy around their financial needs. My goal is to help clients achieve peace of mind knowing how their assets will support what is most important to them and their families.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Solomon Katz | David Katz
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.
OBA-96456|OrgNmn:Katz Ceramics|Org Addr:New Bedfor,Massachuse,US|OBA Nature:Artist|Invst Rel:N|Title:Sole Proprietor|Duties:I accept commision based work and exhibitions at my choosing. Since entering the financial services industry in 2020 this has been very sporad|StrtDt:|TotHrs/mon:10|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view David Solomon Katz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneEducation
Indiana University
Master of Fine Arts - Ceramics
2012
University of Wisconsin
Bachelor of Fine Arts - Fine Arts
2005
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 50 Derby St Ste 100, Hingham, MA 02043-3740RIA
CRD#: 104555
NEW BEDFORD, MA
Current
October 28, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 50 Derby St, Ste 100, Hingham, MA 02043-3740BD
CRD#: 7784
Hingham, MA
Past
November 12, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
HINGHAM, MA
Past
August 24, 2020 - October 22, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
July 17, 2020 - October 22, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/19/2024)
RR
Connecticut(10/28/2020)
RR
Florida(2/12/2021)
RR
Georgia(4/30/2024)
RR
Illinois(7/19/2024)
RR
Maine(10/28/2020)
RR
Massachusetts(10/28/2020)
IAR
Massachusetts(3/31/2025)
RR
Michigan(5/7/2024)
RR
New Hampshire(10/28/2020)
RR
New York(4/10/2024)
RR
North Carolina(2/23/2024)
RR
Rhode Island(10/28/2020)
RR
South Carolina(7/19/2024)
RR
Texas(11/3/2020)
IAR
Texas(3/31/2025)
RR
Vermont(1/7/2022)
RR
Virginia(7/19/2024)
RR
Wisconsin(5/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/17/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Planning ConsultantCRD#: 104555New Bedford, MATRUST BUT VERIFY
Monitor David Katz
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
