Richard B. 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 Barry Katz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2009 - November 27, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 2, 2009 - November 27, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 10, 2002 - March 20, 2009
CITIGROUP GLOBAL MARKETS INC.
April 6, 1994 - March 20, 2009
CITIGROUP GLOBAL MARKETS INC.
December 1, 1983 - March 29, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1982 - August 20, 1986
MONEX FINANCIAL CORPORATION
April 1, 1982 - November 17, 1983
HALPERT AND COMPANY, INC.
August 19, 1980 - November 17, 1981
HALPERT AND COMPANY, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
