Michael James Caterina
Investment adviser representative at Zacks Investment Management, Inc.
16 yearsExperience
1 stateRegistered in
$14.6BFirm assets
34 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feePerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
16 years in the industry.
- Lbmz Securities, Inc.Jan 2024 to now
- Zacks Investment Management, Inc.Nov 2023 to now
- UBS Financial Services Inc.Aug 2019 to Nov 2023
- Morgan Stanley Smith Barney LLCAug 2010 to Aug 2019
Exams passed
- Series 66 · Uniform Combined State Law2011
State registrations
Registered as an investment adviser representative in 1 state (NY).
Zacks Investment Management, Inc.
$14.6BAssets managed
3,741Clients
83Advisers
34 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5831316
- Firm CRD
- 110897