Cathleen Depasquale
Professional summary
Cathleen Depasquale, who also goes by Cat Depasquale, Cathleen Depasquale, Cathleen Erdelyan, Cathleen Seneca, is a registered financial professional 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 57TO, Series 52TO, Series 99TO, SIE, Series 87, Series 55, Series 5, Series 15, Series 3, Series 7, Series 9, Series 10, Series 14, Series 14A, Series 53, Series 8, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cathleen Depasquale's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 13, 2021 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402August 13, 2021 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402December 20, 2024 - February 28, 2025
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
August 23, 2023 - November 26, 2024
&PARTNERS
September 28, 2022 - January 11, 2023
TRUIST INVESTMENT SERVICES, INC.
May 12, 2022 - September 7, 2023
MOOMOO FINANCIAL INC.
January 18, 2022 - April 2, 2023
TRADESTATION SECURITIES, INC.
November 24, 2021 - October 2, 2022
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 10, 2021 - January 31, 2022
TRUIST INVESTMENT SERVICES, INC.
February 10, 2021 - July 27, 2023
EXCELSIOR EQUITIES
October 30, 2019 - March 9, 2020
GAGE-WILEY & CO., INC.
February 21, 2019 - January 25, 2022
I-BANKERS DIRECT, LLC
October 24, 2016 - May 3, 2017
FORGE SECURITIES LLC
October 19, 2016 - March 31, 2017
AVONDALE PARTNERS, LLC
September 30, 2016 - March 31, 2017
CAPITAL ONE SECURITIES, INC.
September 25, 2015 - December 12, 2019
LPS CAPITAL LLC
July 14, 2015 - November 26, 2018
GAGE-WILEY & CO., INC.
May 15, 2015 - August 5, 2015
CNBS
July 16, 2014 - January 19, 2021
EASTERN POINT SECURITIES, INC.
July 8, 2014 - November 27, 2015
EMERGING GROWTH EQUITIES, LTD.
January 24, 2014 - August 26, 2015
USCA SECURITIES LLC
December 11, 2013 - November 9, 2017
CARY STREET PARTNERS
August 30, 2013 - October 23, 2013
STONEX SECURITIES INC.
February 15, 2013 - March 11, 2014
FIRST BERMUDA SECURITIES LTD.
July 31, 2012 - March 1, 2013
THE VERTICAL GROUP
September 20, 2010 - November 15, 2011
HARRISDIRECT LLC
September 20, 2010 - May 9, 2011
G1 EXECUTION SERVICES, LLC
September 20, 2010 - November 15, 2011
E*TRADE SECURITIES LLC
February 21, 2007 - November 15, 2011
E*TRADE CLEARING LLC
March 22, 2004 - March 5, 2007
J.P. MORGAN CLEARING CORP.
March 22, 2004 - March 5, 2007
J.P. MORGAN SECURITIES LLC
April 11, 2001 - March 12, 2004
APEX CLEARING CORPORATION
October 11, 1996 - April 9, 2001
LABRANCHE FINANCIAL SERVICES, LLC
January 13, 1995 - September 10, 1996
STATE CAPITAL MARKETS CORPORATION
August 3, 1994 - January 15, 1995
ROBERT TODD FINANCIAL CORP.
August 8, 1986 - November 10, 1993
LEHMAN BROTHERS INC.
January 23, 1985 - February 27, 1985
THE STUART-JAMES COMPANY, INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/16/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 4/20/1987
Interest Rate Options ExaminationSeries 15
Date: 4/13/1987
Foreign Currency Options ExaminationSeries 14A
Date: 9/25/1996
Compliance Official Specialist ExamSeries 8
Date: 6/15/1987
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
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 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| 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 | 4 |
| Arbitration | 1 |
Red Flags
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