Stanley James Katz

Employer firm

Oneseven CRD 283087

$7.72B regulatory AUM 12 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Oneseven

24400 Chagrin Blvd. Suite 310, Beachwood, OH 44122 • United States

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2024-01-29
SC	RA	APPROVED	2024-01-29
IL	RA	APPROVED	2022-12-12
TX	RA	APPROVED_RES	2021-10-29
OH	RA	APPROVED	2021-10-28

KY RA
APPROVED

Since 2024-01-29
SC RA
APPROVED

Since 2024-01-29
IL RA
APPROVED

Since 2022-12-12
TX RA
APPROVED_RES

Since 2021-10-29
OH RA
APPROVED

Since 2021-10-28

Branch Locations

Daniel Island, SC • United States

3033 Kettering Blvd. Suite 326, Dayton, OH 45066 • United States

24400 Chagrin Blvd. Suite 310, Beachwood, OH 44122 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ross, Sinclaire & Associates, Llc	Cincinnati	OH	01/2016	12/2021
Mgo One Seven Llc Dba Clientfirst Financial Strategies, Inc.	Dayton	OH	10/2021	Present
Fortune Financial Services, Inc.	Monaca	PA	11/2021	Present

01/2016 → 12/2021

Ross, Sinclaire & Associates, Llc

Cincinnati, OH
10/2021 → Present

Mgo One Seven Llc Dba Clientfirst Financial Strategies, Inc.

Dayton, OH
11/2021 → Present

Fortune Financial Services, Inc.

Monaca, PA

Previous Registrations

2016-01-13 → 2021-12-06

Ross, Sinclaire & Associates, Llc

Dayton, OH

Cincinnati, OH

Cincinnati, OH
2012-02-27 → 2016-01-14

Clientfirst Financial Strategies, Inc.

Dayton, OH
1999-11-26 → 2010-03-31

First Alliance Asset Management Inc

Dayton, OH

Other Businesses

1) 9/1983 Independent Licensed insurance Agent; Investment Related; Ohio; Annuities (2) 012005 The Dayton Foundation; Non - Investment Related; 40 N Main St, Ste 500, Dayton, OH 45423; Community Foundation; Marketing Committee Member; Approx. 2 hrs / quarter; Approx. 2 hrs/ quarter during trading hours; Attend the committee meeting and offer professional insight on how to approach TDF potential customers (3) 11/2021 Fortune Financial Services, Inc.; Broker Dealer; Investment Related; Registered Representative; 10 Approx. hrs / month; 10 Approx. hrs/month during trading hours; investment and account management. (4) 11/2021 DBA: Client First Financial Strategies Inc - IAR with RIA MGO One Seven LLC; 200 approx. hrs./month; investment and account management

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-01-29
S63	Uniform Securities Agent State Law Examination	1983-08-22

S65 Uniform Investment Adviser Law Examination

1993-01-29
S63 Uniform Securities Agent State Law Examination

1983-08-22

View on SEC IAPD