Katherine Bates Horowitz
Investment adviser representative at LPL Financial LLC
14 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 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 assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
14 years in the industry.
- LPL Financial LLCApr 2025 to now
- Arrow Bank National AssocApr 2025 to now
- Morgan StanleyAug 2023 to Apr 2025
- LPL Financial LLCSep 2013 to Aug 2023
- Glen Falls National Bank & Trust CoAug 2012 to Aug 2023
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 65 · Uniform Investment Adviser Law2023
State registrations
Registered as an investment adviser representative in 1 state (NY).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 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
- 6111611
- Firm CRD
- 6413