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Michael Andrew Katz

LPL Enterprise, LLC

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About Michael Andrew Katz

Michael Katz is a financial professional with over 25 years of experience in the financial services industry. Michael is currently registered with LPL Enterprise, LLC as a Registered Representative and Investment Advisor Representative. Michael has worked in the industry since 1997 and has a strong background in providing investment advice and financial planning services to individuals and businesses. Michael holds the Series 63, 65, and 7 licenses as well as the Series 24 and SIE licenses.

Firm Information

Michael Katz is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Michael Katz’s Registration & Firm History

NY

11/14/2024 - Present

LPL Enterprise, LLC (MELVILLE NY)

NY

05/15/1997 - 07/25/2002

UBS GLOBAL ASSET MANAGEMENT (US) INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/27/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/12/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/13/1997

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/14/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Andrew Katz. Review regulatory record here.
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