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Janet Gurley Katz

CRD# 710571·Registered 1980 - 2009
Previously Registered: Being a previously registered professional could mean that Janet 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.

Professional Summary

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 was a previously registered financial advisor and started their career in finance 1980 - 2009. Janet had worked at 10 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Janet K Gurley, Janet Gurley, Janet G Katz, Janet Gurley Nero, Janet Nero

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

46 years in the financial services industry

Current & Past Employments

JANET GURLEY KATZ, LLC·CRD# 125087
RIA
Chester, NJ
May 1, 2003 - March 25, 2009
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
October 1, 1999 - January 8, 2003
FIRST UNION CAPITAL MARKETS CORP.·CRD# 6124
BD
Charlotte, NC
January 16, 1998 - October 1, 1999
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
January 28, 1995 - December 24, 1997
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
March 14, 1994 - January 28, 1995
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
May 31, 1989 - March 7, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
August 8, 1983 - May 18, 1989
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
January 14, 1983 - July 7, 1983
LEHMAN BROTHERS INC.·CRD# 7506
BD
February 2, 1981 - September 23, 1981
MORGAN STANLEY DW INC.·CRD# 7556
BD
July 1, 1980 - March 2, 1981

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1980About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1980About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JK
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