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SK

Shifra Katz

DV SECURITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 7166902
SK

Professional summary

Shifra Katz is a registered financial professional currently at DV SECURITIES, LLC located in Chicago, Illinois and DV EQUITIES located in Chicago, Illinois.

Shifra is registered as a RR (Registered Representative) and started their career in finance in 2020. Shifra has worked at 2 firms and has passed the Series 63, Series 3, Series 7TO, Series 57TO, SIE, Series 14 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shifra 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®
None

Experience

Current

February 7, 2020 - Present

DV SECURITIES, LLC

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605Office #2: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 305134
Chicago, IL
Current

July 6, 2021 - Present

DV EQUITIES

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 312688
Chicago, IL

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
Connecticut
(9/6/2024)
RR
Illinois
(8/27/2024)
RR
Maryland
(11/1/2024)
RR
New Jersey
(9/26/2024)
RR
New York
(9/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/21/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/13/2019
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/28/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2019
General Securities Principal Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DE
DV EQUITIES
DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC

CRD#: 312688 / SEC#: , 8-70659

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 12/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESDIRECTOR OF FIXED INCOME/TRADING PRINCIPAL2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER7166902

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.

Company Information

DV EQUITIES

CRD#: 312688Chicago, IL 60605

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