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CL

Catherine L. Lafee

LAFFER TENGLER INVESTMENTS
Sottsdale, AZ 85253
Some features on this profile are disabled
CRD#: 2576685
CL

Professional summary

Catherine Lorie Lafee, who also goes by Catherine Carr, Catherine Lorie Lafee Mrs, Catherine Carr Lafee, is a registered financial advisor currently at LAFFER TENGLER INVESTMENTS, INC. located in Sottsdale, Arizona.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Catherine has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Catherine Carr | Catherine Lorie Lafee Mrs | Catherine Carr Lafee

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) 4/6/17- Catherine L Lafee LLC/ Business Entity For Tax/Investment Purposes Only- Inv. Related- Fountain Hills, AZ - start date 1/8/2014- 40%. 2) 6/12/2017 - AB&T Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/05/2017 - 180 Hours Per Month/160 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Lorie Lafee's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 3, 2019 - Present

LAFFER TENGLER INVESTMENTS, INC.

Office #1: 6730 N. Scottsdale Road Suite 230, Sottsdale, AZ 85253
RIA
CRD#: 108068
Sottsdale, AZ
Past

September 30, 2019 - April 29, 2020

BUTCHERJOSEPH ASSET MANAGEMENT, LLC

RIA
CRD#: 284626
CHARLOTTE, NC
Past

April 6, 2017 - August 26, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
SCOTTSDALE, AZ
Past

April 6, 2017 - August 26, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
SCOTTSDALE, AZ
Past

January 16, 2015 - April 11, 2017

WADDELL & REED

RIA
CRD#: 866
SCOTTSDALE, AZ
Past

September 19, 2013 - April 11, 2017

WADDELL & REED

BD
CRD#: 866
SCOTTSDALE, AZ
Past

May 25, 2011 - March 27, 2012

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 6, 2002 - January 9, 2003

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

February 6, 1995 - January 9, 2003

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY

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".
LT
LAFFER TENGLER INVESTMENTS, INC.
LAFFER INVESTMENTS INC | LAFFER TENGLER INVESTMENTS, INC. | LAFFER TENGLER INVESTMENTS

CRD#: 108068 / SEC#: 801-56953

RIA
Registered Investment Advisory firm - (11/10/1999 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.

Highlighted states indicate IAR registrations

IAR
Arizona
(12/3/2019)
IAR
Texas
(8/19/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/14/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/29/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/9/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/24/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/20/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/27/1997
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LT
LAFFER TENGLER INVESTMENTS, INC.
LAFFER INVESTMENTS INC | LAFFER TENGLER INVESTMENTS, INC. | LAFFER TENGLER INVESTMENTS

CRD#: 108068 / SEC#: 801-56953

RIA
Registered Investment Advisory firm - (11/10/1999 Approved)
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Contact information

Main Address
1005 17th Ave S Suite 900, Nashville, TN 37212
Mailing Address
6730 N. Scottsdale Road Suite 230, Scottsdale, AZ 85253
Phone number
(800) 838-3468
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LAFFER TENGLER INVESTMENTS ADV PART 2A (9/10/2025)
LAFFER TENGLER INVESTMENTS ADV APPENDIX 1 WRAP FEE BROCHURE (9/10/2025)

Regulatory assets under management

Total Number of Accounts673
AUM (Assets Under Management)$ 622,024,616

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.

Company Information

LAFFER TENGLER INVESTMENTS, INC.

CRD#: 108068Sottsdale, AZ 85253

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