Catherine Clark is a registered investment advisor, based in Scottsdale, AZ, with 19 years of industry experience. Catherine is also registered as a broker, so some compensation may come from commissions on products sold.
Location
14321 North Northsight Blvd., Scottsdale, AZ, 85260
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2025Settled
Other Business Activities
Catherine is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This activity is not investment-related.
Employment History
Current Registrations
Vanguard Marketing Corporation
July 2021 - Present · 5 yrs 3 mos
Vanguard Advisers, INC.
July 2021 - Present · 5 yrs 3 mos
Vanguard Marketing CorporationBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Primerica Advisors
March 2021 - June 2021 · 3 mos
PFS Investments INC.Broker
March 2021 - June 2021 · 3 mos
Charles Schwab & CO., INC.
September 2015 - March 2019 · 3 yrs 6 mos
Charles Schwab & CO., INC.Broker
September 2015 - March 2019 · 3 yrs 6 mos
CUNA Brokerage Services, INC.Broker
September 2013 - July 2015 · 1 yr 10 mos
CUNA Brokerage Services, INC.
September 2013 - July 2015 · 1 yr 10 mos
LPL Financial LLC
April 2006 - March 2012 · 5 yrs 11 mos
LPL Financial LLCBroker
April 2006 - March 2012 · 5 yrs 11 mos
VALIC Financial Advisors, INC.
May 2004 - May 2005 · 1 yr
VALIC Financial Advisors, INC.Broker
January 2003 - May 2005 · 2 yrs 4 mos
Nylife Securities INC.Broker
April 2002 - February 2003 · 10 mos
State Registrations2 states
AZTX
AdvisorBrokerBoth
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
No exam information available for this advisor.
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