Jeffrey 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:

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

Current Employers

Employment History

• 02/2015 → 11/2016
  Wells Fargo Advisors, Llc
  San Rafael, CA
• 11/2016 → 05/2023
  Wells Fargo Clearing Services, Llc
  San Rafael, CA
• 05/2023 → Present
  Lpl Financial Llc
  Napa, CA

Previous Registrations

• 2015-02-20 → 2023-05-12
  Wells Fargo Clearing Services, Llc
  Crystal Bay, NV
  Crystal Bay, NV
  Crystal Bay, NV
  Crystal Bay, NV
  Corte Madera, CA
  Incline Village, NV
  Incline Village, NV
• 2009-06-01 → 2015-03-03
  Morgan Stanley
  San Rafael, CA
  Crystal Bay, NV
• 2005-02-04 → 2009-06-01
  Citigroup Global Markets Inc.
  San Rafael, CA
  San Rafael, CA
• 1997-07-08 → 2005-02-09
  Morgan Stanley Dw Inc.
  San Rafael, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-10-22
• S63 Uniform Securities Agent State Law Examination
  1984-02-24

Other Names

• Jeffrey Jay Katz