CATHERINE A. CRUNDEN
HIGHTOWER SECURITIES | Executive Director
Melville, NY 11747
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CRD#: 2121015
Professional summary
CATHERINE ANNE CRUNDEN, who also goes by Catherine A Larisch, Catherine Anne Larisch, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Melville, New York.
CATHERINE is registered as a RR (Registered Representative) and started their career in finance in 1998. CATHERINE has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Cathy Crunden is the executive director of ALINE Wealth. She leverages organizational skills, attention to detail and more than 25 years of experience in the financial services industry to provide excellent team leadership and office efficiencies to help ensure the team’s success.
Cathy prides herself on being able to personally assist clients during difficult market conditions using in-depth business analysis while providing macro-economic information. She will look to calm clients’ fears in turbulent and unfamiliar economic conditions and takes a personal interest in each client’s life.
Cathy’s leadership extends to the corporate level of the firm, where she has been the chairperson and member for the Field Professional Council over the past five years. Cathy helped lead this nationwide committee of professionals within the firm, with a mission of aligning culture and driving best practices across the firm. She is also co-chair of the Philanthropy Committee serving the New York region. The committee is responsible for coordinating charitable events throughout the year that include the American Heart Association Wall Street Run/Heart Walk, Ronald McDonald House Dinner Service, New York Cares Winter Wishes and Gods Love We Deliver.
Prior to joining ALINE, Cathy was an investment associate at UBS Financial Services for 14 years. She has also served as the operations manager at A.G. Edwards for 9 years.
Cathy is the recipient of the National Association of Professional Women’s 2016 Circle of Excellence Award, which recognizes female professionals who are excelling in their industries and communities.
She holds her series 7 and 63 licenses, as well as Life and Health Insurance licenses.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Catherine A Larisch | Catherine Anne Larisch
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) - BD
Click below to view CATHERINE ANNE CRUNDEN'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®
NoneExperience
Current
March 22, 2013 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 445 Broad Hollow Road Suite 332, Melville, NY 11747BD
CRD#: 116681
Melville, NY
Past
July 6, 1999 - April 1, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELVILLE, NY
Past
July 28, 1998 - June 18, 1999
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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
Arizona(2/11/2015)
RR
California(1/16/2015)
RR
District of Columbia(12/7/2016)
RR
Florida(4/2/2013)
RR
Georgia(1/4/2016)
RR
Maine(1/4/2016)
RR
Massachusetts(1/4/2016)
RR
New Hampshire(1/4/2016)
RR
New Jersey(4/2/2013)
RR
New York(3/22/2013)
RR
Ohio(1/2/2024)
RR
Oregon(12/19/2016)
RR
Virginia(4/4/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Executive DirectorCRD#: 116681Melville, NY 11747TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
