MK
Miyeon Katz
LPL ENTERPRISE
Chicago, IL 60606
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CRD#: 7027667
MK
Professional summary
Miyeon Katz, who also goes by Mi Yeon Katz, Mi Yeon Kwon, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Chicago, Illinois.
Miyeon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Miyeon has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 6TO exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mi Yeon Katz | Mi Yeon Kwon
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.
1) 12/11/2024-My Wallet Consulting, Inc- Business Entity For Tax/Investment Purposes Only- I created to expense out from deposit income from LPL and Pru business.- Not INV Related- At Chicago, IL- Start date 04/06/2018- 4 HRS MTH- 0 HRS During Trading 2) 10/02/2024- MassMutual Life Insurance Company- Non-Variable Insurance Commission Trails- Commission trail that I did business before I joined Prudential.- INV Related- At Chicago, IL- Start date 02/01/2023-0 HRS MTH- 0 HRS During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Miyeon Katz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Miyeon Katz's 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 20 North Wacker Drive Suite 3010, Chicago, IL 60606RIA
BD
CRD#: 8733
Chicago, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 20 North Wacker Drive Suite 3010, Chicago, IL 60606RIA
BD
CRD#: 8733
Chicago, IL
Past
February 17, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Chicago, IL
Past
February 15, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Chicago, IL
Past
July 14, 2021 - February 10, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHICAGO, IL
Past
February 3, 2020 - February 10, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHICAGO, IL
Past
April 20, 2019 - September 10, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCHAUMBURG, IL
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Georgia(11/14/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Missouri(11/14/2024)
RR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/13/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/9/2019
Investment Company Products/Variable Contracts Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
