Catherine Ellis Schafer
Professional Summary
Catherine Ellis Schafer, who also goes by Catherine Mary Ellis, Cathy Ellis, was a registered financial advisor. Catherine was a previously registered financial professional and started their career in finance 1992 - 2007. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Catherine Mary Ellis, Cathy Ellis
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
34 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Aug 2005About the Series 87 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1992About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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