Catherine R. Purdon
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 Rene Purdon, CFP®, who also goes by Catherine R. Hissong, Catherine Rene Restivo, Cathie R. Restivo, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2000. Catherine had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - June 13, 2025
NATIONWIDE INVESTMENT ADVISORS, LLC
March 23, 2015 - June 13, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 14, 2009 - September 30, 2011
NEW ENGLAND SECURITIES
December 14, 2009 - September 30, 2011
NEW ENGLAND SECURITIES
January 22, 2009 - November 24, 2009
SECURIAN FINANCIAL SERVICES, INC.
January 21, 2009 - November 24, 2009
SECURIAN FINANCIAL SERVICES, INC.
May 20, 2005 - January 12, 2009
NEW ENGLAND SECURITIES
February 16, 2000 - January 12, 2009
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
