Katherine Bates Horowitz

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-04-16

NY RA
APPROVED

Since 2025-04-16

Branch Locations

4 Broad St Plaza, Glens Falls, NY 12801 • United States

73 Broad St, Schuylerville, NY 12871 • United States

15 Main St, Lake Luzerne, NY 12846 • United States

1080 Main St, Schroon Lake, NY 12870 • United States

6353 State Route 9, Chestertown, NY 12817 • United States

402 Bay Rd, Glens Falls, NY 12804 • United States

696 Upper Glen St, Queensbury, NY 12804 • United States

147 Saratoga Ave, South Glens Falls, NY 12803 • United States

2252 Sr 9, Lake George , NY 12845 • United States

3853 Main St , Warrensburg , NY 12885 • United States

402 Bay Rd, Queensbury, NY 12803 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Glen Falls	NY	09/2013	08/2023
Glen Falls National Bank & Trust Co	Glens Falls	NY	08/2012	08/2023
Morgan Stanley	Glens Falls	NY	08/2023	04/2025
Arrow Bank National Assoc	Glens Falls	NY	04/2025	Present
Lpl Financial Llc	Glens Falls	NY	04/2025	Present

09/2013 → 08/2023

Lpl Financial Llc

Glen Falls, NY
08/2012 → 08/2023

Glen Falls National Bank & Trust Co

Glens Falls, NY
08/2023 → 04/2025

Morgan Stanley

Glens Falls, NY
04/2025 → Present

Arrow Bank National Assoc

Glens Falls, NY
04/2025 → Present

Lpl Financial Llc

Glens Falls, NY

Previous Registrations

2023-09-06 → 2025-04-16

Morgan Stanley

Glens Falls, NY
2021-08-03 → 2023-09-06

Lpl Financial Llc

Glens Falls, NY

Other Businesses

1. 04/2025 / Arrow Bank National Assoc / NOTARY / INVESTMENT RELATED / 1 HRS MNTH / 1 HRS DURING TRADING / START 05/13/2017 2. 05/07/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Arrow Investment Services - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date 04/14/2025 - 160 Hrs/Mth - 160 Hrs During Trading. 3. 11/06/2025 - Arrow Bank - Financial Institution Duty - Wealth Management Business Consultant - Investment Related - At Reported Business Location(s) - Start Date 04/14/2025 - 160 hours per month/ during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-10-31
S63	Uniform Securities Agent State Law Examination	2014-04-25

S65 Uniform Investment Adviser Law Examination

2023-10-31
S63 Uniform Securities Agent State Law Examination

2014-04-25

Other Names

Katie Bates
Katherine E Bates

View on SEC IAPD