Paul E. 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.
Paul Elliott Katz was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1979. Paul had worked at 6 firms and has passed the Series 65, Series 63 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 27, 2005 - July 2, 2012
B. RILEY WEALTH MANAGEMENT
September 27, 2005 - July 2, 2012
B. RILEY WEALTH MANAGEMENT
March 24, 1995 - September 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 24, 1995 - September 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 19, 1990 - April 4, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1983 - May 2, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
April 21, 1983 - April 24, 1990
LEHMAN BROTHERS INC.
May 5, 1980 - April 19, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1979 - January 8, 1980
JM DISSOLUTION, INC.
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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
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.
