Janet G. 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.
Janet Gurley Katz, who also goes by Janet K Gurley, Janet Gurley, Janet G Katz, Janet Gurley Nero, Janet Nero, was a registered financial advisor .
Janet is a previously registered financial advisor and started their career in finance in 1980. Janet had worked at 10 firms and has passed the 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
May 1, 2003 - March 25, 2009
JANET GURLEY KATZ, LLC
October 1, 1999 - January 8, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 16, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 28, 1995 - December 24, 1997
UBS FINANCIAL SERVICES INC.
March 14, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 31, 1989 - March 7, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 8, 1983 - May 18, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 1983 - July 7, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
February 2, 1981 - September 23, 1981
LEHMAN BROTHERS INC.
July 1, 1980 - March 2, 1981
MORGAN STANLEY DW 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
No current employment
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.
