Eric Scott Katz
CFP®Professional Summary
Eric Scott Katz, CFP®, who also goes by Eric Katz, Eric Scott Katz, is a registered financial advisor currently at LEO FUND SERVICES, LLC located in Edison, New Jersey and LEO WEALTH, LLC located in Boca Raton, Florida. Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 7 firms and has passed the Series 63, SIE and Series 7...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Katz, Eric Scott Katz
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
CORPORATE PENSIONS COMPANY | ROCKWALL WEALTH MANAGEMENT | MASSEY QUICK WEALTH SOLUTIONS LLC | LEOGROUP WEALTH SOLUTIONS, LLC | LEO WEALTH, LLC | KMR FINANCIAL GROUP | INVESTMENT AND ASSET PLANNING
Contact Information
Main Address
379 Thornall St. Floor 9, Suite 9, Edison, NJ 08837Phone Number
(732) 903-2600# of Employees
40SEC notice filing (24 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,195AUM (Assets Under Management)
$3,205,181,999Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/11/2025 | Cover Page | Report |
| 10/23/2024 | Cover Page | Report |
| 11/30/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
CORPORATE PENSIONS COMPANY | ROCKWALL WEALTH MANAGEMENT | MASSEY QUICK WEALTH SOLUTIONS LLC | LEOGROUP WEALTH SOLUTIONS, LLC | LEO WEALTH, LLC | KMR FINANCIAL GROUP | INVESTMENT AND ASSET PLANNING
State Registrations and Notice Filings
(3/26/2025)
(3/31/2025)
(6/2/2015)
(7/27/2022)
(9/4/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Eric Scott Katz's CRS (Customer Relationship Summary).
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