Ben J. Katt
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.
Ben James Katt, who also goes by Ben Katt, was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 2011. Ben had worked at 2 firms and has passed the Series 65, Series 66 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
September 15, 2015 - March 2, 2017
NOLAN CAPITAL ADVISORS LLC
October 18, 2011 - April 18, 2012
EDWARD JONES
September 30, 2011 - April 18, 2012
EDWARD JONES
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
NOLAN CAPITAL ADVISORS LLC
CRD#: 158775 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 256 |
| AUM (Assets Under Management) | $ 28,794,175 |
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.
