AK
Aaron S. Katz
GRAYSCALE SECURITIES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6377616
AK
Professional summary
Aaron Spence Katz is a registered financial professional currently at GRAYSCALE SECURITIES, LLC located in Stamford, Connecticut.
Aaron is registered as a RR (Registered Representative) and started their career in finance in 2019. Aaron has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Aaron Spence 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®
NoneExperience
Current
October 3, 2022 - Present
GRAYSCALE SECURITIES, LLC
Office #1: 290 Harbor Drive 4th Floor, Stamford, CT 06902BD
CRD#: 305907
Stamford, CT
Past
September 22, 2020 - October 3, 2022
GENESIS GLOBAL TRADING, INC
BD
CRD#: 136962
STAMFORD, CT
Past
August 14, 2019 - September 2, 2020
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/3/2022)
RR
Alaska(10/3/2022)
RR
Arizona(10/3/2022)
RR
Arkansas(10/3/2022)
RR
California(10/3/2022)
RR
Colorado(10/3/2022)
RR
Connecticut(10/3/2022)
RR
Delaware(10/3/2022)
RR
District of Columbia(10/3/2022)
RR
Florida(10/3/2022)
RR
Georgia(10/3/2022)
RR
Hawaii(10/3/2022)
RR
Idaho(10/3/2022)
RR
Illinois(10/3/2022)
RR
Indiana(10/3/2022)
RR
Iowa(10/3/2022)
RR
Kansas(10/3/2022)
RR
Kentucky(10/3/2022)
RR
Louisiana(10/3/2022)
RR
Maine(10/3/2022)
RR
Maryland(10/3/2022)
RR
Massachusetts(10/3/2022)
RR
Michigan(10/3/2022)
RR
Minnesota(10/3/2022)
RR
Mississippi(10/3/2022)
RR
Missouri(10/3/2022)
RR
Montana(10/3/2022)
RR
Nebraska(10/3/2022)
RR
Nevada(10/3/2022)
RR
New Hampshire(10/3/2022)
RR
New Jersey(10/3/2022)
RR
New Mexico(10/3/2022)
RR
New York(10/3/2022)
RR
North Carolina(10/5/2022)
RR
North Dakota(10/3/2022)
RR
Ohio(10/3/2022)
RR
Oklahoma(10/3/2022)
RR
Oregon(10/3/2022)
RR
Pennsylvania(10/3/2022)
RR
Puerto Rico(10/3/2022)
RR
Rhode Island(10/3/2022)
RR
South Carolina(10/3/2022)
RR
South Dakota(10/3/2022)
RR
Tennessee(10/3/2022)
RR
Texas(10/3/2022)
RR
Utah(10/3/2022)
RR
Vermont(10/3/2022)
RR
Virgin Islands(10/3/2022)
RR
Virginia(10/3/2022)
RR
Washington(10/3/2022)
RR
West Virginia(10/3/2022)
RR
Wisconsin(10/3/2022)
RR
Wyoming(10/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRAYSCALE SECURITIES, LLC
GRAYSCALE SECURITIES, LLC
CRD#: 305907 / SEC#: , 8-70437
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
290 Harbor Drive 4th Floor, Stamford, CT 06902
Mailing Address
290 Harbor Drive 4th Floor, Stamford, CT 06902
Phone number
(203) 998-6150
Established
Delaware since 06/14/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
