Robert KatzCRD Number: 1247426
Current Firm: Wells Fargo Clearing Services, LLC
Robert Katz (CRD# 1247426) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Rochester, NY and has over 34 years of experience in the finance industry.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Wells Fargo Clearing Services, LLC||Rochester, NY||Nov 2016 - Current||1|
|Wells Fargo Advisors LLC||Rochester, NY||Mar 2010 - Nov 2016||6|
|Morgan Stanley Smith Barney||Rochester, NY||Jun 2009 - Mar 2010||< 1|
|Citigroup Global Markets Inc.||Rochester, NY||Jul 1993 - Mar 2010||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1984|
|S65||NASAA Investment Advisors Law Examination||Sep 1992|
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
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY