Catherine Oliver-Allen is a registered investment advisor, based in Basalt, CO, with 33 years of industry experience.
Location
Basalt, CO
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Regulatory History
Clean regulatory record
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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Catherine owns Relentless Ranch, where she raises and trains service dogs. This non-investment related activity takes nearly full-time hours during trading hours.
Employment History
Current Registrations
Invicta Capital LLC
November 2019 - Present · 6 yrs 5 mos
Invicta Capital LLCBroker
November 2019 - Present · 6 yrs 5 mos
Invicta Advisors LLC
October 2019 - Present · 6 yrs 6 mos
Previous Registrations
Bryan Advisory Services, LLC
September 2019 - November 2019 · 2 mos
Bryan Advisory Services, LLC
October 2013 - June 2015 · 1 yr 8 mos
Seacrest Wealth Management, LLC
June 2013 - July 2013 · 1 mo
Bryan Funding, INC.Broker
June 2013 - November 2019 · 6 yrs 5 mos
Mutual Trust CO. of America SecuritiesBroker
July 2012 - March 2013 · 8 mos
Great Circle FinancialBroker
November 2009 - July 2012 · 2 yrs 8 mos
Sun Life Financial Distributors, INC.Broker
February 2008 - January 2009 · 11 mos
Integrity Funds Distributor, INC.Broker
December 2006 - March 2008 · 1 yr 3 mos
Ing Financial Partners, INC.Broker
February 2005 - December 2006 · 1 yr 10 mos
Touchstone Securities, INC.Broker
April 2002 - April 2003 · 1 yr
Essex National Securities, INC.Broker
January 2001 - February 2002 · 1 yr 1 mo
Monument Distributors, INC.Broker
June 2000 - October 2000 · 4 mos
Kelmoore Investment Company, INC.Broker
May 1997 - October 1998 · 1 yr 5 mos
Equity Programs CorporationBroker
August 1988 - April 1997 · 8 yrs 8 mos
Ironwood Securities, INC.Broker
April 1987 - October 1987 · 6 mos
Investors Brokerage Services, INC.Broker
July 1985 - November 1985 · 4 mos
Southmark Financial Services, INC.Broker
July 1984 - December 1984 · 5 mos
State Registrations3 states
CACOPA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.