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Michael James Caterina

Zacks Investment Management, Inc.

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About Michael James Caterina

Michael Caterina is an Investment Advisor Representative at Zacks Investment Management, Inc., based in Chicago, IL. Michael has been in the financial services industry since 2011 and has a strong background in portfolio management. Before joining Zacks, Michael worked at UBS Financial Services Inc. and Morgan Stanley. Michael holds the Series 66, Series 31, Series 7, and SIE licenses. Michael specializes in providing investment advice to individuals, businesses, and investment companies.

Firm Information

Michael Caterina is currently registered with Zacks Investment Management, Inc.. Zacks Investment Management, Inc. is an investment management firm based in Chicago, Illinois. They offer a range of services, including financial planning, portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. The firm creates and manages quantitative investment models licensed to sponsors of UITS and ETFs. They manage over $10 billion in assets for various clients, including individuals, high net worth individuals, pension and profit sharing plans, corporations, and other investment advisors. They also offer wrap fee programs.
Zacks Investment Management, Inc.

10 S. RIVERSIDE PLAZA

CHICAGO, IL 60606

$10.56B

Assets Under Management

25

Total Clients

66

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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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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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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creates and manages quantitative investment models that are licensed to sponsors of uits and etfs

Creates and manages quantitative investment models that are licensed to sponsors of uits and etfs

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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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Michael Caterina’s Registration & Firm History

IL

04/17/2024 - Present

Zacks Investment Management, Inc. (CHICAGO IL)

NY

01/29/2020 - 12/04/2023

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

06/06/2011 - 08/06/2019

MORGAN STANLEY (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 11/01/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/25/2013

Series 31 - Futures Managed Funds Examination

BC

Issued 06/03/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael James Caterina.
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