Jacob Katz

KATZ FAMILY FINANCIAL ADVISORS

ALEXANDRIA, VA 22314-4522

Some features on this profile are disabled

CRD#: 7737256

Professional summary

Jacob Katz is a registered financial advisor currently at KATZ FAMILY FINANCIAL ADVISORS, LLC located in Alexandria, Virginia.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Jacob has worked at 1 firm and has passed the Series 65 exam.

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 Jacob 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 4, 2023 - Present

KATZ FAMILY FINANCIAL ADVISORS, LLC

Office #1: 3307 Duke Street, Alexandria, VA 22314-4522

RIA

CRD#: 133600

ALEXANDRIA, VA

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

New York
(1/2/2024)

IAR

Virginia
(10/4/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/2023

Uniform Investment Adviser Law Examination

Current Firm

KATZ FAMILY FINANCIAL ADVISORS, LLC

CRD#: 133600 / SEC#: 801-81034

RIA

Registered Investment Advisory firm - (4/13/2023 Terminated)

California

Registered Investment Advisory firm - (4/26/2015 Terminated)

Delaware

Registered Investment Advisory firm - (3/2/2022 Approved)

District of Columbia

Registered Investment Advisory firm - (3/27/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/12/2021 Approved)

Maryland

Registered Investment Advisory firm - (8/6/2021 Approved)

New York

Registered Investment Advisory firm - (1/2/2024 Approved)

Virginia

Registered Investment Advisory firm - (8/5/2021 Approved)

Washington

Registered Investment Advisory firm - (3/31/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3307 Duke Street, Alexandria, VA 22314-4522

Mailing Address

Phone number

(301) 961-6030

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	295
AUM (Assets Under Management)	$ 106,510,950

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jacob Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KATZ FAMILY FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2023

Current Firm

KATZ FAMILY FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KATZ FAMILY FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors