Merrill 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.
Merrill Lawrence Katz was a registered financial professional .
Merrill is a previously registered financial professional and started their career in finance in 1978. Merrill had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 1994 - March 14, 1995
L&M FINANCIAL SERVICES
July 24, 1990 - February 12, 1992
SECURITIES AMERICA, INC.
June 6, 1989 - June 5, 1990
FIRST OHIO SECURITIES COMPANY
August 23, 1988 - May 31, 1989
CIDCO INVESTMENT SERVICES, INC.
September 29, 1986 - July 5, 1988
BEACHWOOD INVESTMENTS, INC.
December 27, 1985 - June 11, 1986
KEYBANC CAPITAL MARKETS INC.
February 6, 1984 - November 13, 1984
PRUDENTIAL EQUITY GROUP, LLC
April 16, 1981 - February 9, 1984
FINANCIAL SQUARE PARTNERS
January 31, 1980 - May 16, 1981
UBS FINANCIAL SERVICES INC.
September 11, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 1, 1978 - October 4, 1979
FIFTH THIRD SECURITIES, INC.
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
L&M FINANCIAL SERVICES
CRD#: 26247 / SEC#: , 8-42456
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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