Catherine E. Schafer
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 Ellis Schafer, who also goes by Catherine Mary Ellis, Cathy Ellis, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1992. Catherine had worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 87, Series 7, Series 6, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2006 - April 27, 2007
SIENA CAPITAL HOLDINGS, LLC
November 8, 2001 - April 4, 2011
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
August 8, 2000 - September 9, 2026
IMPERIAL CAPITAL, LLC
April 19, 1994 - November 15, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 15, 1992 - April 26, 1994
INVEST FINANCIAL CORPORATION
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
What does exam status mean?
Series 52TO
Passed: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Passed: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 6
Passed: 6/11/1992
Current firm
No current employment
Red Flags
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