Catherine Curtis
CURTIS FINANCIAL PLANNING
Oakland, CA
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CRD#: 1644947
Professional summary
Catherine Curtis, CFP®, who also goes by Catherine Rose Disse, is a registered financial advisor currently at CURTIS FINANCIAL PLANNING located in Oakland, California.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Catherine has worked at 3 firms and has passed the Series 7 exam.
Core Areas of Focus
Baby Boomers
Investment Advice with Ongoing Management
LGBT Couples and Families
Retirement Planning & Distribution Rules
Socially Responsible Investments
Tax Planning
Biography
In addition to running her firm and working with clients, Cathy is a frequent public speaker on topics such as working with women clients and social media marketing. She is a member of the CNBC Digital Financial Council - a group of financial advisors around the U.S. dedicated to financial literacy. Cathy is on Investopedia's top 100 list of the most influential advisors. She started a podcast called Financial Finesse and taught Personal Finance courses at Mills College in Oakland, CA
Question & Answer
What are your service offerings?
Estate Planning
Socially Responsible Investing
Retirement Planning
Life Transitions
Inheritance
Tax Planning
Comprehensive Financial Planni...
Insurance Planning
Employee and Employer Plan Ben...
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Catherine Rose Disse
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.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Curtis's 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®
CFP®
Start date: 2003
Experience
Current
January 23, 2014 - Present
CURTIS FINANCIAL PLANNING
RIA
CRD#: 136785
Oakland, CA
Past
August 21, 2012 - July 22, 2013
CLEARROCK CAPITAL LLC
RIA
CRD#: 144480
KETCHUM, ID
Past
November 25, 1987 - December 19, 1990
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
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".
CURTIS FINANCIAL PLANNING
CATHERINE CURTIS, C.F.P. | CURTIS, CATHERINE | CURTIS FINANCIAL PLANNING, LLC | CURTIS FINANCIAL PLANNING
CRD#: 136785 / SEC#: 801-132154
RIA
Registered Investment Advisory firm - (3/12/2025 Approved)California
Registered Investment Advisory firm - (4/21/2025 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(1/23/2014)
Exams
General Industry/Product Exam
Current Firm
CURTIS FINANCIAL PLANNING
CATHERINE CURTIS, C.F.P. | CURTIS, CATHERINE | CURTIS FINANCIAL PLANNING, LLC | CURTIS FINANCIAL PLANNING
CRD#: 136785 / SEC#: 801-132154
RIA
Registered Investment Advisory firm - (3/12/2025 Approved)California
Registered Investment Advisory firm - (4/21/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Oakland, CA
Mailing Address
Phone number
(510) 451-3528
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 129,600,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
