AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CP

Catherine L. Puent

U.S. BANCORP INVESTMENTS
Belleville, IL 62221
Some features on this profile are disabled
CRD#: 1594443
CP

Professional summary

Catherine Lynn Puent, who also goes by Catherine Lynn Fritsch, Catherine Lynn Fritschpuent, Karen Puent, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Belleville, Illinois.

Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Catherine has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Catherine Lynn Fritsch | Catherine Lynn Fritschpuent | Karen Puent

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.
DK Design; NOT I/R; St. Jacob, IL; Interior Design; Owner; 7/2017; 24 HRS/MTH; 0 HRS/TRADING; Design Consultant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Lynn Puent's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Catherine Lynn Puent'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

July 3, 2006 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 1820 Lebanon Ave, Belleville, IL 62221Office #2: 6701 N Illinois St, Fairview Heights, IL 62208
RIA
BD
CRD#: 17868
Belleville, IL
Current

December 1, 2001 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 1820 Lebanon Ave, Belleville, IL 62221Office #2: 6701 N Illinois St, Fairview Heights, IL 62208
RIA
BD
CRD#: 17868
Belleville, IL
Past

January 3, 2000 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

BD
CRD#: 14536
MORRIS PLAINS, NJ
Past

June 21, 1997 - January 3, 2000

MERCANTILE INVESTMENT SERVICES, INC.

BD
CRD#: 19908
ST. LOUIS, MO
Past

December 26, 1986 - June 21, 1997

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925

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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.

CRD#: 17868 / SEC#: 801-68122, 8-35359

RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)
California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)
Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)
Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)
Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
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

RR
Alabama
(10/9/2019)
RR
Arizona
(9/26/2025)
RR
Arkansas
(12/14/2022)
RR
Colorado
(9/11/2006)
RR
Florida
(12/1/2001)
RR
Georgia
(2/5/2003)
RR
Hawaii
(8/20/2025)
RR
Illinois
(12/1/2001)
IAR
Illinois
(7/3/2006)
RR
Indiana
(11/13/2017)
RR
Kansas
(8/5/2014)
RR
Michigan
(5/17/2019)
RR
Missouri
(12/1/2001)
RR
Montana
(9/2/2025)
RR
Ohio
(12/1/2001)
RR
Oklahoma
(6/26/2013)
RR
Oregon
(6/23/2022)
RR
Pennsylvania
(7/29/2024)
RR
South Carolina
(8/29/2006)
RR
Texas
(12/1/2001)
IAR
Texas
(6/11/2024)
RR
Washington
(12/1/2001)
RR
Wisconsin
(12/1/2001)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.

CRD#: 17868 / SEC#: 801-68122, 8-35359

RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)
California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)
Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)
Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)
Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV (PERSONAL PORTFOLIOS WRAP BROCHURE) (11/14/2025)
PART 2A OF FORM ADV (FINANCIAL PLANNING SERVICES) (9/12/2025)

Direct owners and executive officers

NamePositionCRD#
U.S. BANCORPPARENT CORPORATION
AHMAD, MASOODSENIOR VICE PRESIDENT, OPERATIONS MANAGER7887624
BEJASA, EILEENDIRECTOR7002808
CLARK, SHANNON KEITHDIRECTOR AND CHIEF FINANCIAL OFFICER5829700
FERGUSON, KIMBERLY NICOLECHIEF EXECUTIVE OFFICER AND DIRECTOR4120145
FLOUM, JOEL IRADIRECTOR2405754
LAWLOR, BETH DDIRECTOR5352662
MCCARTHY, MATTHEW RYANCHIEF LEGAL OFFICER6818984
MOLLOY, JOHN WILLIAM JR.DIRECTOR1939358
ROLLAND, JODI THOMPSONDIRECTOR2290884
SALSTROM, KYLE NORMANCHIEF COMPLIANCE OFFICER, DIRECTOR5025315
STEGEMEYER, STEPHEN KYLEDIRECTOR2793064
STEINER, STEPHEN WARDCHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR2259345
WHANG, JAMESDIRECTOR2737019

Regulatory assets under management

Total Number of Accounts66,996
AUM (Assets Under Management)$ 19,296,734,956

Disclosures

Regulatory Event16
Arbitration12

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/19/2024
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.

Company Information

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868Belleville, IL 62221

TRUST BUT VERIFY

Monitor Catherine Puent

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Dalton J Stockton
Dalton StocktonAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
ST. LOUIS, MO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.