Donald L. 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.
Donald Lester Katz, who also goes by Don Katz, Donald L Katz, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 15 firms and has passed the Series 63, Series 55, Series 3, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1999 - August 8, 2001
FINANCIAL WORLD CORPORATION
December 17, 1998 - November 19, 1999
SUNPOINT SECURITIES, INC.
July 7, 1997 - October 30, 2003
SUNBELT SECURITIES, INC.
February 4, 1997 - January 27, 1998
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
December 5, 1994 - October 7, 1998
BLOCK TRADING INC.
October 25, 1994 - October 23, 1997
TEXAS CAPITAL SECURITIES, INC.
July 31, 1991 - October 3, 1994
MURCHISON INVESTMENT BANKERS, INC.
December 6, 1990 - August 14, 1991
SMETEK, VAN HORN AND CORMACK, INC.
April 21, 1989 - January 1, 1991
SCHAEFER SECURITIES, INC.
February 23, 1988 - April 22, 1989
SCHULTE & JOHNSON, INC.
May 27, 1986 - March 3, 1988
DOVER GROUP, INC.
August 7, 1985 - January 18, 1986
GLADSTONE SECURITIES, INC.
December 19, 1983 - December 28, 1984
E.L. PRICE BANK CAPITAL
December 24, 1981 - February 26, 1982
A. RACZ & CO., INC.
February 25, 1981 - October 21, 1981
JOHN MUIR & CO.
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
Series 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
FINANCIAL WORLD CORPORATION
CRD#: 41377 / SEC#: , 8-49397
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERVERT, BRADLEY ALLAN | CHIEF EXECTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 2563245 |
| HANSON, SHERRY CONSTANCE | COMMON SHAREHOLDER | |
| THE HEDGE FUND, LLC | COMMON SHAREHOLDER | |
| BAHM, DARIN KEITH | COMMON SHAREHOLDER | 2850903 |
| BELL, WILLIAM KENNETH JR | REGISTERED REPRESENTATIVE | |
| BLUNT, MICHAEL EUGENE | BRANCH MANAGER | 2778238 |
| ORENSTEIN, HEYWOOD SETH | PRESIDENT | 2755281 |
Disclosures
| Regulatory Event | 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.
