Cathleen Depasquale
Professional Summary
Cathleen Depasquale, who also goes by Cat Depasquale, Cathleen Depasquale, Cathleen Erdelyan, Cathleen Seneca, is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and SECURITIES MANAGEMENT & RESEARCH, INC. located in Cedar Rapids, Iowa. Cathleen is registered as a RR (Registered Representative) and started their career in finance in 1985. Cathleen has worked at 35 firms and has passed the Series 65, Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cat Depasquale, Cathleen Depasquale, Cathleen Erdelyan, Cathleen Seneca
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Mailing Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(855) 767-5700Established
Florida since 12/15/1964Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | — |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
Regulatory Event
4Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jul 2014About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2000Series 5 — Interest Rate Options Examination
Passed Apr 1987Series 15 — Foreign Currency Options Examination
Passed Apr 1987Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 14A — Compliance Official Specialist Exam
Passed Sep 1996Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jun 1987SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Cathleen Depasquale's CRS (Customer Relationship Summary).
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