CS
Catherine K. Swenson
WASATCH ADVISORS LP
Salt Lake City, UT 84108
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CRD#: 2289597
CS
Professional summary
Catherine Kitty Swenson, who also goes by Catherine Clayton, Kitty Clayton, Catherine Swenson, Kitty Swenson, is a registered financial advisor currently at WASATCH ADVISORS LP located in Salt Lake City, Utah and ALPS DISTRIBUTORS, INC. located in Salt Lake City, Utah.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Catherine has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 2 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Clayton | Kitty Clayton | Catherine Swenson | Kitty Swenson
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.
1. Wasatch Advisors LP, Investment Related, 505 Wakara Way 3rd Floor Salt Lake City UT 84108, RIA, Director of Client Relations, 160 hrs/mon, 130 hrs/mon. 2. National Honors Advisory Board for University of Utah, Not investment related, 201 Presidents' Cir Salt Lake City UT 84112, Board Member, 2 hrs/mon, non during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Kitty Swenson'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
January 6, 1993 - Present
WASATCH ADVISORS LP
Office #1: 505 Wakara Way 3rd Floor, Salt Lake City, UT 84108RIA
CRD#: 106081
Salt Lake City, UT
Current
March 11, 2003 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 505 Wakara Way 3rd Floor, Salt Lake City, UT 84108BD
CRD#: 16853
Salt Lake City, UT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WA
WASATCH ADVISORS LP
CROSS CREEK CAPITAL | WASATCH GLOBAL INVESTORS | WASATCH CROSS CREEK CAPITAL | WASATCH ADVISORS LP | WASATCH ADVISORS INC | CROSS CREEK CAPITAL, GP, L.P. ("RELYING ADVISER") | CROSS CREEK CAPITAL PARTNERS II GP, LLC ("RELYING ADVISER") | CROSS CREEK CAPITAL PARTNERS
CRD#: 106081 / SEC#: 801-11095
RIA
Registered Investment Advisory firm - (10/23/1975 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(5/27/2003)
RR
Alaska(6/24/2003)
RR
Arizona(5/15/2003)
RR
Arkansas(5/13/2003)
RR
California(5/15/2003)
RR
Colorado(3/11/2003)
RR
Connecticut(5/13/2003)
RR
Delaware(1/20/2006)
RR
District of Columbia(3/11/2003)
RR
Florida(3/11/2003)
RR
Georgia(1/20/2006)
RR
Hawaii(6/26/2003)
RR
Idaho(5/14/2003)
RR
Illinois(5/14/2003)
RR
Indiana(1/20/2006)
RR
Iowa(5/13/2003)
RR
Kansas(5/15/2003)
RR
Kentucky(2/7/2003)
RR
Louisiana(3/11/2003)
RR
Maine(3/11/2003)
RR
Maryland(3/11/2003)
RR
Massachusetts(1/20/2006)
RR
Michigan(1/20/2006)
RR
Minnesota(5/15/2003)
RR
Mississippi(6/3/2003)
RR
Missouri(5/20/2003)
RR
Montana(2/7/2003)
RR
Nebraska(5/23/2003)
RR
Nevada(5/12/2003)
RR
New Hampshire(5/13/2003)
RR
New Jersey(3/11/2003)
RR
New Mexico(5/12/2003)
RR
New York(1/20/2006)
RR
North Carolina(1/23/2006)
RR
North Dakota(5/12/2003)
RR
Ohio(3/12/2003)
RR
Oklahoma(5/13/2003)
RR
Oregon(3/14/2003)
RR
Pennsylvania(5/20/2003)
RR
Puerto Rico(1/2/2025)
RR
Rhode Island(5/21/2003)
RR
South Carolina(5/14/2003)
RR
South Dakota(4/22/2003)
RR
Tennessee(1/20/2006)
RR
Texas(2/7/2003)
IAR
Utah(1/6/1993)
RR
Utah(5/1/2003)
RR
Vermont(3/11/2003)
RR
Virgin Islands(1/2/2025)
RR
Virginia(5/12/2003)
RR
Washington(5/13/2003)
RR
West Virginia(5/12/2003)
RR
Wisconsin(5/14/2003)
RR
Wyoming(5/8/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 11/3/1992
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WASATCH ADVISORS LP
CROSS CREEK CAPITAL | WASATCH GLOBAL INVESTORS | WASATCH CROSS CREEK CAPITAL | WASATCH ADVISORS LP | WASATCH ADVISORS INC | CROSS CREEK CAPITAL, GP, L.P. ("RELYING ADVISER") | CROSS CREEK CAPITAL PARTNERS II GP, LLC ("RELYING ADVISER") | CROSS CREEK CAPITAL PARTNERS
CRD#: 106081 / SEC#: 801-11095
RIA
Registered Investment Advisory firm - (10/23/1975 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
505 Wakara Way 3rd Floor, Salt Lake City, UT 84108
Mailing Address
Phone number
(801) 533-0777
Established
Firm type
Fiscal year end
# of Employees
96
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 244 |
| AUM (Assets Under Management) | $ 27,916,763,225 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WASATCH ADVISORS LP
CRD#: 106081Salt Lake City, UT 84108TRUST BUT VERIFY
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Contact information
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