Vincent James Catania

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 02/2006 → Present
  Lpl Financial Llc
  Carmel, IN

Previous Registrations

• 1998-11-10 → 2006-06-06
  Quantum Financial Services Inc.
  Carmel, IN
• 2004-06-04 → 2006-02-07
  Waterstone Financial Group, Inc.
  Carmel, IN

Other Businesses

1. 2/3/2006 - ACT IN A FIDUCIARY CAPACITY - CO-TRUSTEE FOR A TRUST WRITTEN BY AN OLD ACQUAINTANCE-CO-TRUSTEE - MARY ELIZABETH ECHARD TRUST - 2% OF TIME - INDIANAPOLIS, IN. 2. 2/3/2006 - NON-VARIABLE INSURANCE - SALE OF LIFE AND DISABILITY INSURANCE POLICIES - 20% OF TIME - INDIANAPOLIS, IN. 3. 4/16/2012 - RETIREMENT COUNSELING SERVICES - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-10-26
• S63 Uniform Securities Agent State Law Examination
  1988-09-09

Designations

• Certified Financial Planner

Other Names

• Vincent James Catania