Catherine P. Crain

FAYEZ SAROFIM & CO.

HOUSTON, TX 77010

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CRD#: 1987390

Professional summary

Catherine Paddock Crain, who also goes by Catherine Elizabeth Paddock, is a registered financial advisor currently at FAYEZ SAROFIM & CO. located in Houston, Texas and SAROFIM INTERNATIONAL MANAGEMENT CO .

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Catherine has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Elizabeth Paddock

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 Paddock Crain'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

June 27, 1997 - Present

FAYEZ SAROFIM & CO.

Office #1: Two Houston Center Suite 2907, Houston, TX 77010

RIA

CRD#: 106584

HOUSTON, TX

Current

April 15, 2010 - Present

SAROFIM INTERNATIONAL MANAGEMENT CO

RIA

CRD#: 106933

Current

April 15, 2010 - Present

SAROFIM TRUST CO

RIA

CRD#: 106590

Past

April 15, 2010 - March 26, 2014

SAROFIM ADVISORS GROUP INC

RIA

CRD#: 106932

HOUSTON, TX

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".

FAYEZ SAROFIM & CO.

FAYEZ SAROFIM & CO. | SAROFIM FAYEZ & CO | FAYEZ SAROFIM & CO., LLC

CRD#: 106584 / SEC#: 801-1725

RIA

Registered Investment Advisory firm - (7/16/1958 Approved)

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

Texas
(6/27/1997)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/3/1997

Uniform Investment Adviser Law Examination

Current Firm

FAYEZ SAROFIM & CO.

FAYEZ SAROFIM & CO. | SAROFIM FAYEZ & CO | FAYEZ SAROFIM & CO., LLC

CRD#: 106584 / SEC#: 801-1725

RIA

Registered Investment Advisory firm - (7/16/1958 Approved)

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Contact information

Main Address

Two Houston Center 2907, Houston, TX 77010

Mailing Address

Phone number

(713) 654-4484

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,926
AUM (Assets Under Management)	$ 34,508,545,660

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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Catherine P. Crain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Paddock Crain's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAYEZ SAROFIM & CO.

SAROFIM INTERNATIONAL MANAGEMENT CO

SAROFIM TRUST CO

SAROFIM ADVISORS GROUP INC

Primary Firm SEC Registration

FAYEZ SAROFIM & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/1997

Current Firm

FAYEZ SAROFIM & CO.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAYEZ SAROFIM & CO.

TRUST BUT VERIFY

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