CATHY A. LUBNER
HIGHTOWER SECURITIES | Director, Operations & Administration
Westport, CT 06880
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CRD#: 1030151
Professional summary
CATHY ANNE LUBNER, who also goes by Cathy Anne Hernandez, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Westport, Connecticut.
CATHY is registered as a RR (Registered Representative) and started their career in finance in 2012. CATHY has worked at 2 firms and has passed the SIE and Series 99 exams.
Biography
Cathy Lubner is the Director of Operations and Administration at RDM Financial Group. She brings more than 30 years of financial services and operations experience to the team.
Cathy’s primary responsibilities as director are to oversee the movement and tracking of incoming and outgoing funds, as well as setting up and maintaining client accounts. Prior to RDM financial Group, Cathy served in operations roles as sales assistant at both Merrill Lynch and Morgan Stanley.
Cathy received her Bachelor of Science degree, with honors, from the City College of New York. Cathy holds the Series 99 license.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cathy Anne Hernandez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view CATHY ANNE LUBNER's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 23, 2017 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 10 Wright Street First Floor, Westport, CT 06880BD
CRD#: 116681
Westport, CT
Past
July 27, 2012 - August 7, 2017
RDM INVESTMENT SERVICES, LLC
BD
CRD#: 104266
WESTPORT, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Director, Operations & AdministrationCRD#: 116681Westport, CT 06880TRUST BUT VERIFY
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