Irving Rudolph Katz

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2007 → Present
  Katz Financial, Llc
  San Clemente, CA
• 10/1999 → 01/2020
  Katz Financial, Llc
  San Clemente, CA
• 06/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2007-09-05 → 2020-09-08
  Katz Financial, Llc
  San Clemente, CA
• 2005-02-01 → 2005-12-12
  Qa3 Financial Llc
  Irvine, CA
• 2004-01-01 → 2004-06-30
  Voya Financial Advisors, Inc.
  Des Moines, IA
• 2002-02-15 → 2004-01-01
  Locust Street Securities, Inc.
  Chino Hills, CA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 06/16/20 2) KATZ FINANCIAL & INSURANCE SERVICES, INC, 57 VIA ARMILLA USA, SAN CLEMENTE, CA, INDEPENDENT REPRESENTATIVE, NIR, 4/MO- 0/TRADING 3)KATZ FINANCIAL & INSURANCES, INC. 2372 MORSE AVE, IRVINE, CA, INSURANCE AGENT SALES, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 02/19/92- NIR,7 WK- 3/TRADING 4)KATZ FINANCIAL & INSURANCES, INC. 2372 MORSE AVE, IRVINE, CA, BUSINESS EXIT PLANNING CONSULTANT, 01/04/21, NIR, 4 HR/MO- 0/TRADING HR.

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-08-31
• S65 Uniform Investment Adviser Law Examination
  1998-10-26

Designations

• Chartered Financial Consultant

Other Names

• Irv Katz