Catherine M. O'brien
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Maureen O'brien, who also goes by Catherine Maureen Burnett, Catherine Maureen Downs, Catherine Obrien Downs, Catherine Maureen Obrien, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1981. Catherine had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - May 2, 2025
D.A. DAVIDSON & CO.
November 25, 2013 - May 2, 2025
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
August 10, 2009 - November 4, 2013
CROWELL, WEEDON & CO.
August 10, 2009 - November 4, 2013
CROWELL, WEEDON & CO.
June 1, 2009 - June 23, 2009
MORGAN STANLEY
June 1, 2009 - June 23, 2009
MORGAN STANLEY
May 6, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 6, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 26, 1983 - November 13, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 1981 - January 10, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 92,146 |
| AUM (Assets Under Management) | $ 41,839,245,699 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
