Unclaimed Profile

Stanley James Katz

CLIENTFIRST FINANCIAL STRATEGIES, INC.·DAYTON, Ohio

SIE, Series 3, Series 7, Series 24, Series 63, Series 6526 years registeredCLIENTFIRST FINANCIAL STRATEGIES, INC.

3033 KETTERING BLVD., DAYTON, OH 45439CRD# 1165148Firm CRD# 152628

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stanley James Katz · DAYTON, OH

Registration

CRD #1165148 · CLIENTFIRST FINANCIAL STRATEGIES, INC. · 26 years registered

Brand Profile

Not yet started

Career History

ONESEVEN

Oct 2021 – present

ROSS, SINCLAIRE & ASSOCIATES, LLC

Jan 2016 – Dec 2021

CINCINNATI, OH

CLIENTFIRST FINANCIAL STRATEGIES, INC.

Feb 2012 – Jan 2016

DAYTON, OH

FIRST ALLIANCE ASSET MANAGEMENT INC

Nov 1999 – Mar 2010

DAYTON, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · November 26, 1999

Years registered · 26

Disclosure History

2006Customer Dispute·Settled

1993Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CLIENTFIRST FINANCIAL STRATEGIES, INC.

CRD 152628 · SEC 801-71080

AUM

$176M

Regulatory assets under management

Employees

509 client accounts

Services offered by CLIENTFIRST FINANCIAL STRATEGIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CLIENTFIRST FINANCIAL STRATEGIES, INC. →

Introduction

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Frequently Asked Questions

What services does Stanley James Katz offer?

Stanley James Katz specializes in Financial Planning, Investment Management. Contact their office in DAYTON, Ohio for a consultation.

What are Stanley James Katz's credentials?

Stanley James Katz is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stanley James Katz located?

Stanley James Katz is based in DAYTON, Ohio, working with CLIENTFIRST FINANCIAL STRATEGIES, INC.. Their office serves clients in the DAYTON metropolitan area and surrounding communities.

How does Stanley James Katz charge for services?

Stanley James Katz's firm is compensated through percentage of aum, hourly charges, other: % of advised assets. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CLIENTFIRST FINANCIAL STRATEGIES, INC.?

CLIENTFIRST FINANCIAL STRATEGIES, INC. has approximately 4 employees and manages $176M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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