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MK

Michael R. Katz

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CRD#: 873982
MK

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.

Michael Ronald Katz was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 000, Series 4 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 2, 2011 - September 27, 2015

BENDIGO SECURITIES, LLC

BD
CRD#: 152529
New York, NY
Past

February 28, 2005 - June 19, 2008

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
NEW YORK, NY
Past

October 24, 2002 - March 8, 2005

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

September 3, 2002 - October 16, 2002

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

September 28, 1994 - September 3, 2002

E*TRADE CLEARING LLC

BD
CRD#: 25025
JERSEY CITY, NJ
Past

March 25, 1993 - June 2, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 8, 1993 - March 6, 1993

MCMAHAN SECURITIES CO. L.P.

BD
CRD#: 22123
GREENWICH, CT
Past

November 19, 1981 - June 4, 1984

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
Past

November 5, 1981 - February 5, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 23, 1979 - November 18, 1981

LEHMAN BROTHERS INC.

BD
CRD#: 7506

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

State Security Law Exam
RR
Series 63
Date: 5/22/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/11/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/17/1979
General Securities Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 8/16/1973
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/16/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2005
General Securities Principal Examination

Current Firm

BS
BENDIGO SECURITIES, LLC
BENDIGO SECURITIES, LLC | CROWDCLEAR

CRD#: 152529 / SEC#: , 8-68462

BD
Terminated by SEC on 11/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CROWD CLEAR INC.SOLE OWNER
KATZ, MICHAEL RONALDCHIEF COMPLIANCE OFFICER & AML873982
KATZ, MICHAEL RONALDCOO873982
REYES, CHRISTOPHER VALENTINFINOP2105804
TAYLOR, RICHARD DAVIDCEO4944380

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

BENDIGO SECURITIES, LLC

CRD#: 152529

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