Justin Alan 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
CA	RA	APPROVED	2023-05-03
OR	RA	APPROVED	2023-05-03
TX	RA	APPROVED_RES	2023-05-03

CA RA
APPROVED

Since 2023-05-03
OR RA
APPROVED

Since 2023-05-03
TX RA
APPROVED_RES

Since 2023-05-03

Branch Locations

Napa, CA • 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
Wells Fargo Clearing Services, Llc	San Rafael	CA	12/2017	05/2023
Self-Employment	San Francisco	CA	03/2017	12/2017
Creativelive, Inc	San Francisco	CA	08/2015	03/2017
Lpl Financial Llc	Napa	CA	05/2023	Present

12/2017 → 05/2023

Wells Fargo Clearing Services, Llc

San Rafael, CA
03/2017 → 12/2017

Self-Employment

San Francisco, CA
08/2015 → 03/2017

Creativelive, Inc

San Francisco, CA
05/2023 → Present

Lpl Financial Llc

Napa, CA

Previous Registrations

2018-03-30 → 2023-05-12

Wells Fargo Clearing Services, Llc

Corte Madera, CA

Portland, OR

Other Businesses

1) 12/21/2023 - JUSTIN KATZ PHOTOGRAPHY - Non-Investment Related - Portland, OR - Other - Photography - Owner and Sole Operator - Started: 9/15/2016 - 5 Hrs/Mo; 0 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-03-30

S66 Uniform Combined State Law Examination

2018-03-30

Other Names

Justin Katz

View on SEC IAPD