Catherine M. Straub
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Mary Straub, CFP®, who also goes by Catherine Loughrey, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1991. Catherine had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
February 13, 2015 - September 26, 2023
ALASKA WEALTH ADVISORS
January 1, 2010 - February 12, 2015
ALASKA PERMANENT CAPITAL MANAGEMENT, LLC
August 23, 2007 - December 31, 2009
KMS FINANCIAL SERVICES, INC.
December 19, 2006 - December 31, 2009
KMS FINANCIAL SERVICES, INC.
March 26, 1999 - February 21, 2007
AURORA SECURITIES
June 20, 1995 - December 31, 2007
FINANCIAL RESOURCES INC
November 27, 1991 - July 27, 1999
OSAIC WEALTH, INC.
Primary Firm SEC Registration
ALASKA WEALTH ADVISORS
CRD#: 172151 / SEC#: 801-80133
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 11/4/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALASKA WEALTH ADVISORS
CRD#: 172151 / SEC#: 801-80133
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,008 |
| AUM (Assets Under Management) | $ 925,384,680 |
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.
