Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Raymond Katz is a financial advisor registered in New York and has been working in the industry since 1993. William Raymond Katz is currently registered with TD Securities (usa) LLC. William Raymond Katz has also been registered with Cowen and Company, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., The Buckingham Research Group Incorporated, Putnam Lovell NBF Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley & Co., Incorporated. William Raymond Katz has passed the following exams: Series 63, Series 10, Series 24, SIE, Series 87, Series 86 and Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
03/08/2024 - Present
TD Securities (usa) LLC (New York NY)
NY
08/29/2023 - 04/10/2024
COWEN AND COMPANY (NEW YORK NY)
NY
08/03/2022 - 09/21/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
03/16/2010 - 08/02/2022
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/11/2003 - 03/01/2010
THE BUCKINGHAM RESEARCH GROUP INCORPORATED (NEW YORK NY)
NY
02/10/2003 - 11/03/2003
PUTNAM LOVELL NBF SECURITIES INC. (NEW YORK NY)
NY
09/05/1997 - 12/20/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/06/1993 - 07/30/1997
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 11/16/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/21/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/09/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 03/16/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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