Catherine I. Urbach
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 Irene Urbach, who also goes by Cathy Urbach, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1986. Catherine had worked at 12 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2024 - August 4, 2026
CHARLES SCHWAB & CO., INC.
June 23, 2022 - February 10, 2024
SCHWAB WEALTH ADVISORY, INC.
January 6, 2020 - June 23, 2022
CHARLES SCHWAB & CO., INC.
January 6, 2020 - August 4, 2026
CHARLES SCHWAB & CO., INC.
May 3, 2017 - February 21, 2018
NATIONAL PLANNING CORPORATION
May 3, 2017 - February 20, 2018
SII INVESTMENTS, INC.
May 3, 2017 - February 20, 2018
INVESTMENT CENTERS OF AMERICA, INC.
May 3, 2017 - February 20, 2018
INVEST FINANCIAL CORPORATION
May 3, 2017 - February 21, 2018
NATIONAL PLANNING CORPORATION
July 11, 2008 - March 4, 2016
LPL FINANCIAL LLC
July 10, 2008 - March 4, 2016
LPL FINANCIAL LLC
May 23, 2002 - May 19, 2008
IFMG SECURITIES, INC.
April 10, 2002 - May 19, 2008
IFMG SECURITIES, INC.
July 20, 1999 - September 7, 2001
U.S. BANCORP INVESTMENTS, INC.
February 2, 1999 - July 23, 1999
CHARLES SCHWAB & CO., INC.
February 28, 1997 - April 13, 1998
INVEST FINANCIAL CORPORATION
September 25, 1995 - January 30, 1996
AEGON USA SECURITIES INC.
August 25, 1994 - September 19, 1995
U.S. BANCORP INVESTMENTS, INC.
August 1, 1991 - August 30, 1994
IFMG SECURITIES, INC.
March 1, 1990 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
December 8, 1986 - November 11, 1989
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
