Cathy S. Wolfe
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.
Cathy Sue Wolfe, who also goes by Cathy Sue Low, Cathy Low, Cathy Sue Wolfelow, Cathy Wolfelow, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1986. Cathy had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2010 - March 9, 2015
LPL FINANCIAL LLC
February 11, 2010 - March 9, 2015
LPL FINANCIAL LLC
August 5, 2009 - February 12, 2010
MML INVESTORS SERVICES, LLC
July 24, 2009 - February 12, 2010
MML INVESTORS SERVICES, LLC
January 21, 2005 - July 15, 2009
AMERITAS INVESTMENT COMPANY, LLC
January 3, 2005 - July 15, 2009
AMERITAS INVESTMENT COMPANY, LLC
October 17, 2002 - January 11, 2005
MONY SECURITIES CORPORATION
October 2, 2002 - January 11, 2005
MONY SECURITIES CORPORATION
June 6, 2000 - November 21, 2002
EAGLE STRATEGIES LLC
May 11, 1999 - October 2, 2002
NYLIFE SECURITIES LLC
September 2, 1997 - May 3, 1999
CETERA WEALTH SERVICES, LLC
February 1, 1994 - May 3, 1999
CETERA WEALTH SERVICES, LLC
February 27, 1992 - February 16, 1994
CUNA BROKERAGE SERVICES, INC.
November 9, 1987 - November 15, 1990
CAPITAL BROKERAGE CORPORATION
March 5, 1986 - November 10, 1987
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
