Catherine A. Matusiewicz
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 Ann Matusiewicz, who also goes by Catherine Ann Dobbin, Cathy Dobbin, Catherine Ann Dobbin Matusiewicz, Catherine Ann Dobbinmatusiewicz, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1984. Catherine had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2017 - February 15, 2022
EMPOWER ADVISORY GROUP, LLC
November 24, 1989 - February 17, 1995
THE GREAT-WEST LIFE ASSURANCE COMPANY
November 13, 1989 - February 15, 2022
EMPOWER FINANCIAL SERVICES, INC.
May 10, 1984 - November 21, 1989
THE GREAT-WEST LIFE ASSURANCE COMPANY
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
