Malcolm E. Katt
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.
Malcolm Elliott Katt was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1978. Malcolm had worked at 8 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2000 - September 14, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 18, 1996 - March 2, 2000
CHASE INVESTMENT SERVICES CORP.
May 17, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
April 6, 1995 - January 5, 1996
MORGAN STANLEY DW INC.
September 10, 1984 - April 3, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1980 - December 26, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1979 - May 25, 1980
LEHMAN BROTHERS INC.
April 24, 1978 - June 25, 1979
LOEB PARTNERS
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
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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