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TK

Troy F. Katterheinrich

ALIGN FINANCIAL
PALM BEACH GARDENS, FL
Some features on this profile are disabled
CRD#: 6992661
TK

Professional summary

Troy Fredrick Katterheinrich, CFP®, who also goes by Troy Frederick Katterheinrich, is a registered financial advisor currently at ALIGN FINANCIAL, LLC located in Palm Beach Gardens, Florida.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Troy has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Troy Frederick Katterheinrich

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 Troy Fredrick Katterheinrich'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®
CFP®

Certified Financial Planner

Experience

Current

August 7, 2025 - Present

ALIGN FINANCIAL, LLC

RIA
CRD#: 309238
PALM BEACH GARDENS, FL
Past

May 22, 2023 - December 2, 2025

STRATEGIC FINANCIAL CONCEPTS, LLC

RIA
CRD#: 141849
Palm Beach Gardens, FL
Past

February 19, 2021 - May 8, 2023

MERIT FINANCIAL ADVISORS

RIA
CRD#: 142457
Boynton Beach, FL
Past

August 11, 2020 - June 7, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
BOYNTON BEACH, FL

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".
AF
ALIGN FINANCIAL, LLC
AGILE RETIREMENT MANAGEMENT | RETIRE AGILE | ALIGN FINANCIAL, LLC

CRD#: 309238 / SEC#: 801-132137

RIA
Registered Investment Advisory firm - (3/10/2025 Approved)
Minnesota
Registered Investment Advisory firm - (3/12/2025 Terminated)
Texas
Registered Investment Advisory firm - (3/10/2025 Terminated)

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.

Highlighted states indicate IAR registrations

IAR
Florida
(8/20/2025)
IAR
Texas
(8/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/2/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/14/2020
Securities Industry Essentials Examination

Current Firm

AF
ALIGN FINANCIAL, LLC
AGILE RETIREMENT MANAGEMENT | RETIRE AGILE | ALIGN FINANCIAL, LLC

CRD#: 309238 / SEC#: 801-132137

RIA
Registered Investment Advisory firm - (3/10/2025 Approved)
Minnesota
Registered Investment Advisory firm - (3/12/2025 Terminated)
Texas
Registered Investment Advisory firm - (3/10/2025 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4960 Miller Trunk Hwy #600, Hermantown, MN 55811
Mailing Address
Phone number
(218) 336-2506
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (2/10/2026)
2A BROCHURE (2/10/2026)

Regulatory assets under management

Total Number of Accounts753
AUM (Assets Under Management)$ 433,731,160

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.

Company Information

ALIGN FINANCIAL, LLC

CRD#: 309238Palm Beach Gardens, FL

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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