Peter Katz is a registered investment advisor, based in New York, NY, with 44 years of industry experience.
Location
New York, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Herold & Lantern Investments, INC.
April 2024 - Present · 2 yrs 1 mo
Lantern Wealth Advisors, LLC
April 2024 - Present · 2 yrs 1 mo
Herold & Lantern Investments, INC.Broker
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Western International Securities
August 2020 - May 2024 · 3 yrs 9 mos
Western International Securities, INC.Broker
November 2017 - May 2024 · 6 yrs 6 mos
Axiom Capital Management, INC.Broker
March 2009 - November 2017 · 8 yrs 8 mos
Aegis Capital CORP.Broker
March 2004 - April 2009 · 5 yrs 1 mo
Kaplan & CO. Securities INC.Broker
January 2001 - March 2004 · 3 yrs 2 mos
Salomon Smith Barney INC.Broker
May 2000 - January 2001 · 8 mos
Schroder & CO. INC.Broker
August 1991 - May 2000 · 8 yrs 9 mos
Prudential Securities IncorporatedBroker
May 1987 - September 1991 · 4 yrs 4 mos
Moseley Securities CorporationBroker
August 1981 - May 1987 · 5 yrs 9 mos
State Registrations16 states
AZCACOCTFLGAILLAMDMINJNYOHPATXWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.