Catherine M. Corrigan

ROCKFLEET FINANCIAL SERVICES

New York, NY 10170

CRD#: 1869713

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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 27, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - 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).

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 5, 2026 - Present

ROCKFLEET FINANCIAL SERVICES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170Office #2: 8586 Potter Park Drive, Sarasota, FL 34238

RIA

CRD#: 149325

New York, NY

Current

January 14, 2010 - Present

ROCKFLEET FINANCIAL SERVICES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170Office #2: 8586 Potter Park Drive, Sarasota, FL 34238

RIA

CRD#: 149325

New York, NY

Past

April 30, 2012 - December 31, 2014

PETER R. MACK & CO., INC.

CRD#: 18275

WESTON, CT

Past

October 12, 2004 - March 6, 2009

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568

NEW YORK, NY

Past

December 14, 2000 - October 13, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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.

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

California
(1/8/2025)

Florida
(2/7/2025)

IAR

New York
(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

State Security Law Exam

IAR

Series 65

FINRA

Current Firm

ROCKFLEET FINANCIAL SERVICES, INC

ROCKFLEET FINANCIAL SERVICES, INC | ROCKFLEET FINANCIAL SERVICES, INC.

CRD#: 149325 / SEC#: , 8-68139

New York

Registered Investment Advisory firm - SEC (2/5/2026 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

8586 Potter Park Dr., Sarasota, FL 34238

Mailing Address

8586 Potter Park Dr., Sarasota, FL 34238

Phone number

(888) 909-4489

Established

Delaware since 12/11/2008

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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	1
AUM (Assets Under Management)	$ 955,746

Disclosures

Regulatory Event

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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Firm Stability Insights

Catherine M. Corrigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

ROCKFLEET FINANCIAL SERVICES, INC

PETER R. MACK & CO., INC.

SIEBERT WILLIAMS SHANK & CO., LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2025

Series 66

Date: 3/8/2019

Series 63

Date: 11/29/2008

Series 52TO

Date: 9/25/2025

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 7/26/2017

Series 7

Date: 12/13/2000

Series 14

Date: 1/2/2023

Series 54

Date: 11/30/2021

Series 4

Date: 9/6/2011

Series 27

Date: 2/10/2005

Series 24

Date: 7/23/2004

Series 53

Date: 4/9/2001

FINRA

Current Firm

ROCKFLEET FINANCIAL SERVICES, INC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ROCKFLEET FINANCIAL SERVICES, INC

TRUST BUT VERIFY

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