Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SAMUEL D KATZ
SAMUEL DOV KATZ, Samuel Katz
CRD#: 2458089
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 111 BROOK STREET
FLOOR 3
SCARSDALE, NY 10583
Registration History
19952000200520102015202020252 FIRMS2018 - Present (6 years)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2013 - 2018 (4 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2013 - 2013 (<1 year)BMETLIFE SECURITIES INC. (CRD# 14251)2003 - 2013 (9 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2003 - 2007 (4 years)BTRUSTED SECURITIES ADVISORS CORP. (CRD# 24049)1994 - 2003 (8 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1994 - 1994 (<1 year)IAHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2017 - 2018 (<1 year)
License(s)

State Registrations

B
California 9/3/2020
IA
New Jersey 1/21/2022
IA
California 9/3/2020
B
New York 5/11/2018
B
Connecticut 2/25/2019
IA
New York 4/16/2021
IA
Connecticut 6/7/2022
B
Pennsylvania 6/27/2019
IA
Maryland 11/18/2021
B
Rhode Island 9/19/2021
B
Maryland 11/19/2021
IA
Rhode Island 9/19/2021
B
New Hampshire 7/10/2018
B
Vermont 7/10/2018
B
New Jersey 1/21/2022
IA
Vermont 8/21/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
111 BROOK STREET FLOOR 3, SCARSDALE, NY 10583
Registered with this firm since 8/21/2018
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
111 BROOK STREET FLOOR 3, SCARSDALE, NY 10583
Registered with this firm since 5/10/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/08/2017 - 03/06/2018 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) NEW YORK, NY
B
 07/18/2013 - 03/06/2018 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) NEW YORK, NY
B
 05/24/2013 - 07/05/2013 NATIONAL PLANNING CORPORATION (CRD#:29604) TARRYTOWN, NY
B
 06/25/2003 - 04/24/2013 METLIFE SECURITIES INC. (CRD#:14251) SCARSDALE, NY
B
 06/25/2003 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) SCARSDALE, NY
B
 12/13/1994 - 06/25/2003 TRUSTED SECURITIES ADVISORS CORP. (CRD#:24049) NEW YORK, NY
B
 03/23/1994 - 11/16/1994 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.