Richard L. Katz
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.
Richard Laurence Katz, who also goes by Richard Lawrence Katz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2011. Richard had worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
May 14, 2021 - October 23, 2023
CITADEL SECURITIES LLC
December 19, 2014 - March 29, 2017
SUSQUEHANNA SECURITIES, LLC
February 24, 2014 - March 29, 2017
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 28, 2012 - March 16, 2015
SAL EQUITY TRADING, GP
February 15, 2012 - June 28, 2012
SUSQUEHANNA SECURITIES, LLC
October 13, 2011 - February 15, 2012
SUSQUEHANNA FINANCIAL GROUP, LLLP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 5/14/2021
Securities Trader ExamSeries 55
Date: 8/15/2012
Limited Representative-Equity Trader ExamCurrent Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 1 |
Red Flags
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