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CC

Catherine M. Corrigan

ROCKFLEET FINANCIAL SERVICES,
New York, NY 10170
Some features on this profile are disabled
CRD#: 1869713
CC

Professional summary

Catherine Mary Corrigan is a registered financial professional currently at ROCKFLEET FINANCIAL SERVICES, INC located in New York, New York.

Catherine is registered as a 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - 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

January 14, 2010 - Present

ROCKFLEET FINANCIAL SERVICES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170Office #2: 1101 Tamiami Trail S Suite 101, Venice, FL 34285
BD
CRD#: 149325
New York, NY
Past

April 30, 2012 - December 31, 2014

PETER R. MACK & CO., INC.

BD
CRD#: 18275
WESTON, CT
Past

October 12, 2004 - March 6, 2009

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
NEW YORK, NY
Past

December 14, 2000 - October 13, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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
California
(1/8/2025)
RR
Florida
(2/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/1/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 7/26/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 12/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 54
Date: 11/30/2021
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/6/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/10/2005
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/9/2001
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

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

Main Address
8586 Potter Park Dr. Suite 102e, Venice, FL 34285
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
10

FINRA licenses (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CORRIGAN, CATHERINE MARYPRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO1869713
ROCKFLEET FINANCIAL SERVICES INC 401K PLANPROXY OWNER
ROCKFLEET INVESTOR PARTNERS II L.P.PROXY OWNER
ROCKFLEET INVESTOR PARTNERS L.P.PROXY OWNER

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 450,000

Disclosures

Regulatory Event1

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

ROCKFLEET FINANCIAL SERVICES, INC

CRD#: 149325New York, NY 10170

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