SK
Steven Katz
SEVEN POINTS CAPITAL
New York, NY 10022
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CRD#: 7460158
SK
Professional summary
Steven Katz is a registered financial professional currently at SEVEN POINTS CAPITAL, LLC located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2021. Steven has worked at 1 firm and has passed the Series 57TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Steven 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®
NoneExperience
Current
November 1, 2021 - Present
SEVEN POINTS CAPITAL, LLC
Office #1: 150 Third Avenue Suite 3002, New York, NY 10022BD
CRD#: 144211
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 57TO
Date: 11/1/2021
Securities Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SEVEN POINTS CAPITAL, LLC
SEVEN POINTS CAPITAL, LLC
CRD#: 144211 / SEC#: , 8-67644
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
150 East 52nd Street Suite 3002, New York, NY 10022
Mailing Address
150 East 52nd Street Suite 3002, New York, NY 10022
Phone number
(212) 760-0760
Established
New York since 02/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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