2019063926101 Allan Katz CRD 2166004 AWC va (2021-1619050800799).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063926101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Allan Katz (Respondent) General Securities Representative CRD No. 2166004 Pursuant to FINRA Rule 9216, Respondent Allan Katz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

RR&WS

Registered Retirement & Wealth Specialist (RR&WS)

Designation Essentials
Status Status cannot be verified. Issuing organization appears to be defunct.
Designation Notes

Designation previously issued by Designation Depot
Issuing Organization
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
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RAA

Registered Annuity Advisor (RAA)

Designation Essentials
Status Status cannot be verified. Issuing organization appears to be defunct.
Designation Notes

Designation previously issued by Designation Depot
Issuing Organization
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
Verification and Complaints
Online Designation Resource
Investor Complaint Process
Published List of Disciplined Designees
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