Paul Katz

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-12-04

NY RA
APPROVED

Since 2024-12-04

Branch Locations

Purchase, NY • 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
Metlife Securities Inc.	White Plains	NY	12/1986	03/2017
Massachusetts Mutual Life Insurance Company	Elmsford	NY	07/2016	12/2024
Mml Investors Services, Llc	Elmsford	NY	03/2017	12/2024
Lpl Financial	Purchase	NY	12/2024	Present
Km Capital	Purchase	NY	12/2024	Present

12/1986 → 03/2017

Metlife Securities Inc.

White Plains, NY
07/2016 → 12/2024

Massachusetts Mutual Life Insurance Company

Elmsford, NY
03/2017 → 12/2024

Mml Investors Services, Llc

Elmsford, NY
12/2024 → Present

Lpl Financial

Purchase, NY
12/2024 → Present

Km Capital

Purchase, NY

Previous Registrations

2021-06-14 → 2022-12-31

Mml Investors Services, Llc

Elmsford, NY

Other Businesses

1)11/19/2024 - KM capital - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 12/2024 - 80 Hr/Mth 2)11/19/2024 - PAUL KATZ OBA EVC FINANCIAL - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 01/2022 - 80 Hr/Mth

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-03-13

S63 Uniform Securities Agent State Law Examination

1989-03-13

Designations

Chartered Financial Consultant

View on SEC IAPD