Larry Katz, WMS

20 Anderson Dr.
Wayne, NJ 07470

Nation's #1 Independent Broker/Dealer

LPL Financial | Financial Advisor in Wayne ,NJ

About LPL Financial

As an Investment Adviser Representative with LPL Financial, a registered investment adviser, I can help you define your long-term investment objectives and build a personalized investment portfolio designed to achieve them. I recognize the importance of getting to know you ? your financial needs, your financial goals and your lifestyle.

My office was established to provide ongoing professional advice to investors while helping them meet their individual investment objectives. I am able to do this by offering truly objective financial advice on a fee basis. This method of compensation allows me to adjust your investment portfolio without requiring you to pay commissions.*

Working on a fee basis allows me to:


- Customize an investment portfolio that is designed to help you realize your short- and long-term investment goals.

- Provide simplified performance reporting, making it easy for you to monitor your account.

- Support you with ongoing professional advice, timely information about your account and updates on the world?s financial markets.

- Manage your portfolio and make investment changes without commissions* as your objectives or the economic climate changes.

* Nominal transaction charges may apply.

25 Years of Experience



General Information
Firm Start Year:   1995
Name of Broker/Dealer:   LPL FINANCIAL
States Licensed in:   CA CT FL GA MA MD NC NH NJ NY PA SC
Number of Years with Current Firm:   15
Work Experience:   I am a well known investment planner in the New York metropolitan area. With over two decades of experience in the insurance and financial services industry, I am committed to providing professional advice to help my clients achieve their financial goals. I am skilled in helping my retiree and pre-retiree clients efficiently plan their financial future and my experience also extends to the needs of small business owners. Believing every individual's case is unique, I listen carefully to understand each person's goals in order to develop an optimal, high quality solution that meets my client's specific needs.
I am a Registered Securities Principal, licensed in 12 states. My firm, LPL Financial, is the nations #1 independent broker/dealer and has been for 15 years*.

*Based on total revenues, as reported in Financial Planning magazine, 1996 - 2010
I work with the following types of clients:   Individual Investors , Businesses


Services
Investment Types:   Alternative Investments , Exchange Traded Funds (ETFs) , Mutual Funds , Bonds , Stocks , Annuities , Insurance
I can meet clients in the following ways:   At my office , Via phone , At your office , At your home , Via email


Qualifications & Memberships
Insurance and Annuity Licenses:   Variable Annuity , Life , Variable Life , Long Term Care , Annuity
Compliance
Registered Investment Advisor:   Yes
Registered Representative:   Yes
Investment Advisor Representative:   Yes
Compliance Disclosures in Last 5 years:   I have a clean record
Criminal Disclosures in Last 5 years:   I have a clean record


Compensation & Fees
Fee Structure:   I am a fee-based financial professional
Minimum Portfolio Size for New Managed Accounts:   50K
Compensation Methods:   Based on Assets , Commissions , Flat Fee
Fee % Based on Assets:   1



FAQs

  • What are your qualifications? What is your education background? I am a Registered Securities Principal, licensed in over 15 states. I hold a Bachelor degree in Accounting and Finance from Roger Williams University in Bristol, R. I. I continued my professional education by earning the title of Wealth Management Specialist (WMS).
  • What is your approach to financial planning? I am in the PRESERVATION OF CAPITAL business, NOT the get rich quick business. MY AIM IS TO DRIVE DOWN RISK. I STRIVE TO ACHIEVE SUPERIOR RISK-ADJUSTED RETURNS.
  • What services do you offer? RETIREMENT PLANNING, INVESTMENT PORTFOLIO ANALYSIS, ANNUAL PORTFOLIO REVIEW, LIFE INSURANCE AND ANNUITIES, LONG-TERM CARE
  • How are you compensated? How will I pay for your services? I am a fee-based planner. My motives can never be questioned. When a planner works on a commission, they ultimately are viewed as a salesperson. A fee-based planner is always viewed as a trusted advisor. My objectives are exactly the same as the clients.
  • If you are going to manage my account, will you obtain my permission every time you buy or sell something? My clients allow me to work on a discretionary basis. If the client prefers, they will be consulted before any transactions take place.
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Larry Katz, WMS

Larry Katz, WMS

WMS