Articles Tagged with Amos Katz

Amos Katz

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Louisiana-based Morgan Stanley broker/adviser Amos Katz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Katz (CRD# 839607).

Amos Katz has spent 41 years in the securities industry and has been registered with Morgan Stanley in New Orleans, Louisiana since 2009. Previous registrations include Citigroup Global Markets in New Orleans, Louisiana (1993-2009); Lehman Brothers in New York, New York (1979-1993); Loeb Partners (1978-1979); and Loeb Rhoades & Company (1977-1978). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 21, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 17, 1981; PC (AMEX Put and Call Exam), which he obtained on June 19, 1979; and Series 7 (General Securities Representative Examination), which he obtained on June 18, 1977. He is a registered broker and investment adviser with 23 US states and territories: Alabama, California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Idaho, Indiana, Kentucky, Louisiana, Maryland, Mississippi, Montana, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Washington. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.