Michael James Caterina

Employer firm

Zacks Investment Management, Inc. CRD 110897

$14.6B regulatory AUM 25 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• CREATES AND MANAGES QUANTITATIVE INVESTMENT MODELS THAT ARE LICENSED TO SPONSORS OF UITS AND ETFS

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

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

Current Employers

Employment History

• 08/2010 → 08/2019
  Morgan Stanley Smith Barney Llc
  New York, NY
• 08/2019 → 08/2020
  Ubs Financial Services Inc.
  New York, NY
• 08/2020 → 11/2023
  Ubs Financial Services Inc.
  Weehawken, NJ
• 11/2023 → Present
  Zacks Investment Management, Inc
  Chicago, IL
• 01/2024 → Present
  Lbmz Securities, Inc.
  Chicago, IL

Previous Registrations

• 2020-01-30 → 2023-12-04
  Ubs Financial Services Inc.
  New York, NY
  Weehawken, NJ
  Weehawken, NJ
• 2011-11-02 → 2019-08-06
  Morgan Stanley
  New York, NY
  New York, NY
  Purchase, NY
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2011-11-01

Other Names

• Michael Caterina