Catherine Irby Arnold

U.S. BANCORP ADVISORS

Seattle, WA 98101

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CRD#: 1531397

Professional summary

Catherine Irby Arnold, who also goes by Catherine Irby Arnold, Catherine Barthels, Catherine Irby Hatt, Catherine Burton Irby, is a registered financial professional currently at U.S. BANCORP ADVISORS, LLC located in Seattle, Washington.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 1986. Catherine has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Catherine Irby Arnold | Catherine Barthels | Catherine Irby Hatt | Catherine Burton Irby

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Irby Arnold's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 1420 5th Ave, Seattle, WA 98101

RIA

CRD#: 14455

Seattle, WA

Past

November 19, 2015 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Seattle, WA

Past

March 17, 2014 - December 12, 2014

BNY MELLON SECURITIES CORPORATION

CRD#: 231

SEATTLE, WA

Past

November 27, 2007 - February 19, 2013

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SEATTLE, WA

Past

November 9, 2007 - February 19, 2013

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SEATTLE, WA

Past

August 12, 2004 - February 20, 2007

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

CLEVELAND, OH

Past

August 12, 2004 - February 21, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

May 8, 2002 - December 2, 2003

DAVIDSON TRUST CO.

RIA

CRD#: 110922

SEATTLE, WA

Past

May 8, 2002 - December 2, 2003

DAVIDSON INVESTMENT ADVISORS, INC.

RIA

CRD#: 110552

SEATTLE, WA

Past

May 2, 2002 - December 2, 2003

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

Past

July 24, 1993 - September 14, 1999

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

March 25, 1992 - May 6, 1993

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

November 15, 1989 - May 8, 1990

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

COLORADO SPRINGS, CO

Past

May 23, 1989 - December 4, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 23, 1989 - December 4, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 26, 1987 - March 15, 1988

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

May 26, 1987 - March 25, 1988

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

May 26, 1987 - March 25, 1988

OSAIC FA, INC.

CRD#: 3978

Past

August 13, 1986 - April 14, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Washington
(2/13/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/7/1994

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203

Mailing Address

800 N Brand Blvd. 16th Floor, Glendale, CA, 91203

Phone number

(800) 634-1100

Established

Delaware since 06/28/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

244

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 12/12/2025 (12/12/2025)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
BEJASA, EILEEN	SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS	7002808
CANEVA, DANIEL CESAR	SVP CHIEF OPERATIONS OFFICER	1686099
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER	5829700
ELY, JAMES EUGENE JR.	SENIOR VICE PRESIDENT - SALES	1843373
FERGUSON, KIMBERLY NICOLE	CHIEF EXECUTIVE OFFICER AND MANAGER	4120145
LAWLOR, BETH DEDRICK	EXECUTIVE VICE PRESIDENT	5352662
ROLLAND, JODI THOMPSON	MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER	5025315
TRIPLETT, SHANE T	INSTITUTIONAL SALES MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,905
AUM (Assets Under Management)	$ 1,516,483,817

Disclosures

Regulatory Event	4
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Catherine Irby Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Irby Arnold's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

BNY MELLON SECURITIES CORPORATION

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

DAVIDSON TRUST CO.

DAVIDSON INVESTMENT ADVISORS, INC.

D.A. DAVIDSON & CO.

USAA INVESTMENT SERVICES COMPANY

CAPITAL CLIENT GROUP, INC.

INTERVEST INTERNATIONAL EQUITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2001

Series 63

Date: 8/14/1986

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2002

Series 6

Date: 8/12/1986

Series 26

Date: 3/7/1994

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

TRUST BUT VERIFY

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