Stanley Katz, financial advisor Dayton OH
83 score

Stanley Katz

CRD Number: 1165148
Current Firm: Ross, Sinclaire & Associates, LLC

Stanley Katz (CRD# 1165148) is an Investment Advisor Representative working at Ross, Sinclaire & Associates, LLC in Dayton, OH and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Ross, Sinclaire & Associates, LLC Cincinnati, OH Jan 2016 - Current < 1
Western International Securities, Inc. Pasadena, CA Mar 2014 - Dec 2015 1
Clientfirst Financial Strategies, Inc. Dayton, OH Mar 2010 - Dec 2015 5
Access Financial Group Chicago, IL Jan 2003 - Mar 2014 11
First Alliance Asset Management, Inc. Dayton, OH Mar 1998 - Mar 2010 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1983
S65 NASAA Investment Advisors Law Examination Jan 1993
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Stanley J. Katz
Phone Number: 513-381-3939
Firm Website:
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States


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