Catherine Mary Corrigan
Professional Summary
Catherine Mary Corrigan is a registered financial advisor currently at ROCKFLEET FINANCIAL SERVICES, INC located in New York, New York. Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Catherine has worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 50, Series 7, Series 14, Series 54, Series 4, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
ROCKFLEET FINANCIAL SERVICES, INC | ROCKFLEET FINANCIAL SERVICES, INC.
Contact Information
Main Address
8586 Potter Park Dr., Sarasota, FL 34238Mailing Address
8586 Potter Park Dr., Sarasota, FL 34238Phone Number
(888) 909-4489Established
Delaware since 12/11/2008Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
10FINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORRIGAN, CATHERINE MARY | PRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO | 1869713 |
| ROCKFLEET FINANCIAL SERVICES INC 401K PLAN | PROXY OWNER | — |
| ROCKFLEET INVESTOR PARTNERS II L.P. | PROXY OWNER | — |
| ROCKFLEET INVESTOR PARTNERS L.P. | PROXY OWNER | — |
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$955,746Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/8/2025)
(2/7/2025)
(2/5/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Jul 2017About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Nov 2021About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Catherine Mary Corrigan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Catherine Mary Corrigan's CRS (Customer Relationship Summary).
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