Cathy Fitzpatrick is a CFP-designated registered investment advisor, based in Newport Beach, CA, with 42 years of industry experience. Cathy is also registered as a broker, so some compensation may come from commissions on products sold.
Location
4001 Macarthur Blvd, Ste 300, Newport Beach, CA, 92660
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Cathy serves on the advisory boards for WISE (Women Investing in Security and Education) and the Girl Scouts of Orange County, dedicating minimal time to each. Her involvement with the Girl Scouts includes serving on the Finance and Audit committees, focusing on financial oversight rather than direct money handling.
Employment History
Current Registrations
Cetera Wealth Services, LLC
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Securian Financial Services, INC.
Securian Financial Services, INC.Broker
Irm Distributors, INC.Broker
Cigna Securities, INC.Broker
John Hancock Distributors, INC.Broker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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