Individual Firm
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JEFFREY KATZ
JEFFREY JAY KATZ
CRD#: 1240739
IA
B
LPL FINANCIAL LLCCRD#: 6413 INCLINE VILLAGE, NV
View By:
10/25/2016
Customer Dispute
Denied
9/21/2004
Customer Dispute
Settled
6/8/1995
Customer Dispute
Settled
8/31/1993
Customer Dispute
Settled
State Registrations
B
Alaska 5/3/2023
B
Mississippi 5/3/2023
B
California 5/3/2023
B
Nevada 5/17/2023
IA
California 5/3/2023
IA
Nevada 5/17/2023
B
Colorado 5/3/2023
B
New York 5/3/2023
B
Florida 5/3/2023
B
North Carolina 5/3/2023
B
Georgia 5/3/2023
B
Ohio 5/3/2023
B
Hawaii 5/25/2023
B
Oregon 5/3/2023
B
Idaho 5/3/2023
B
Pennsylvania 5/3/2023
B
Illinois 6/14/2023
B
Tennessee 5/3/2023
B
Maine 5/3/2023
B
Texas 5/3/2023
B
Maryland 5/22/2023
IA
Texas 5/3/2023
B
Massachusetts 5/3/2023
B
Virginia 5/18/2023
B
Minnesota 5/22/2023
B
Washington 5/3/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/20/2015 - 05/12/2023 | INCLINE VILLAGE, NV | |
B | 02/20/2015 - 05/12/2023 | INCLINE VILLAGE, NV | |
IA | 06/01/2009 - 03/03/2015 | SAN RAFAEL, CA | |
B | 06/01/2009 - 03/03/2015 | SAN RAFAEL, CA | |
IA | 02/04/2005 - 06/01/2009 | SAN RAFAEL, CA | |
B | 02/04/2005 - 06/01/2009 | SAN RAFAEL, CA | |
IA | 07/08/1997 - 02/09/2005 | SAN RAFAEL, CA | |
B | 02/24/1984 - 02/09/2005 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.