Alex S. Katz

THORNBURG INVESTMENT MANAGEMENT

Westfield, NJ

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CRD#: 5503098

Professional summary

Alex Samuel Katz is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Westfield, New Jersey and THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Alex has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Samuel Katz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 22, 2025 - Present

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

Westfield, NJ

Current

June 2, 2025 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506

CRD#: 14857

Santa Fe, NM

Past

July 12, 2018 - January 4, 2023

FEF DISTRIBUTORS, LLC

CRD#: 46585

NEW YORK, NY

Past

November 26, 2014 - June 28, 2018

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

Hoboken, NJ

Past

November 26, 2014 - June 28, 2018

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

June 10, 2008 - November 11, 2014

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

April 30, 2008 - November 11, 2014

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(6/9/2025)

IAR

New Jersey
(10/22/2025)

New Mexico
(10/21/2025)

New York
(10/21/2025)

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

State Security Law Exam

IAR

Series 66

Date: 10/20/2025

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

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Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

Red Flags

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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Firm Stability Insights

Alex S. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Samuel Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

THORNBURG SECURITIES LLC

FEF DISTRIBUTORS, LLC

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, INC.

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/29/2008

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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