CD
Catherine L. Dunn
CAVANAL HILL INVESTMENT MANAGEMENT
TULSA, OK 74172
Some features on this profile are disabled
CRD#: 2595652
CD
Professional summary
Catherine Lee Dunn, who also goes by Catherine Lee Dunn, Cathy L Dunn, Cathy Lee Dunn, Cathy Lee Tempel, is a registered financial advisor currently at CAVANAL HILL INVESTMENT MANAGEMENT, INC. located in Tulsa, Oklahoma and CAVANAL HILL DISTRIBUTORS, INC, located in Tulsa, Oklahoma.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Catherine has worked at 6 firms and has passed the Series 66, SIE, Series 7TO, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Lee Dunn | Cathy L Dunn | Cathy Lee Dunn | Cathy Lee Tempel
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Lee Dunn'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
July 15, 2025 - Present
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
Office #1: One Williams Center 15th Floor, Tulsa, OK 74172RIA
CRD#: 110774
TULSA, OK
Current
October 30, 2024 - Present
CAVANAL HILL DISTRIBUTORS, INC,
Office #1: One Williams Center 15th Floor, Tulsa, OK, 74172BD
CRD#: 175445
Tulsa, OK
Past
September 14, 2016 - September 30, 2016
BOK FINANCIAL SECURITIES, INC.
RIA
CRD#: 17530
Tulsa, OK
Past
July 19, 2016 - September 30, 2016
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
TULSA, OK
Past
January 7, 2016 - September 30, 2016
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110774
TULSA, OK
Past
August 1, 2008 - December 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DENVER, CO
Past
July 10, 2008 - December 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DENVER, CO
Past
November 17, 1997 - June 4, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 11, 1995 - June 18, 1997
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
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".
CH
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.
CRD#: 110774 / SEC#: 801-60138
RIA
Registered Investment Advisory firm - (4/19/2001 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(7/15/2025)
IAR
Alabama(7/15/2025)
RR
Alaska(7/15/2025)
IAR
Alaska(7/15/2025)
RR
Arizona(7/15/2025)
IAR
Arizona(7/29/2025)
RR
Arkansas(7/15/2025)
IAR
Arkansas(7/15/2025)
RR
California(7/15/2025)
IAR
California(7/15/2025)
RR
Colorado(7/15/2025)
IAR
Colorado(7/15/2025)
RR
Connecticut(7/15/2025)
IAR
Connecticut(7/15/2025)
RR
Delaware(7/15/2025)
IAR
Delaware(7/15/2025)
RR
District of Columbia(7/15/2025)
IAR
District of Columbia(11/7/2025)
RR
Florida(7/15/2025)
RR
Georgia(7/15/2025)
IAR
Georgia(7/16/2025)
RR
Hawaii(7/15/2025)
IAR
Hawaii(7/15/2025)
RR
Idaho(7/15/2025)
IAR
Idaho(7/15/2025)
RR
Illinois(7/15/2025)
IAR
Illinois(7/15/2025)
RR
Indiana(7/15/2025)
IAR
Indiana(7/15/2025)
RR
Iowa(7/15/2025)
IAR
Iowa(7/15/2025)
RR
Kansas(7/15/2025)
IAR
Kansas(7/15/2025)
RR
Kentucky(7/15/2025)
IAR
Kentucky(7/15/2025)
RR
Louisiana(7/15/2025)
IAR
Louisiana(7/16/2025)
RR
Maine(7/15/2025)
IAR
Maine(7/15/2025)
RR
Maryland(7/15/2025)
IAR
Maryland(7/15/2025)
RR
Massachusetts(7/15/2025)
RR
Michigan(7/15/2025)
IAR
Michigan(7/15/2025)
RR
Minnesota(7/15/2025)
IAR
Minnesota(7/15/2025)
RR
Mississippi(7/15/2025)
IAR
Mississippi(7/15/2025)
RR
Missouri(7/15/2025)
IAR
Missouri(7/15/2025)
RR
Montana(7/15/2025)
IAR
Montana(7/15/2025)
RR
Nebraska(7/15/2025)
IAR
Nebraska(7/15/2025)
RR
Nevada(7/15/2025)
IAR
Nevada(7/15/2025)
RR
New Hampshire(7/15/2025)
IAR
New Hampshire(7/15/2025)
RR
New Jersey(7/15/2025)
IAR
New Jersey(7/15/2025)
RR
New Mexico(7/15/2025)
IAR
New Mexico(7/16/2025)
RR
New York(7/15/2025)
IAR
New York(7/15/2025)
RR
North Carolina(7/15/2025)
IAR
North Carolina(7/15/2025)
RR
North Dakota(7/15/2025)
IAR
North Dakota(7/24/2025)
RR
Ohio(7/22/2025)
IAR
Ohio(7/23/2025)
RR
Oklahoma(7/15/2025)
IAR
Oklahoma(7/15/2025)
RR
Pennsylvania(7/15/2025)
IAR
Pennsylvania(7/15/2025)
IAR
Puerto Rico(7/15/2025)
RR
Rhode Island(7/15/2025)
IAR
Rhode Island(7/15/2025)
RR
South Carolina(7/15/2025)
IAR
South Carolina(7/15/2025)
RR
South Dakota(7/15/2025)
IAR
South Dakota(7/15/2025)
RR
Texas(7/15/2025)
IAR
Texas(7/15/2025)
RR
Utah(7/15/2025)
IAR
Utah(7/15/2025)
RR
Vermont(7/15/2025)
IAR
Vermont(7/17/2025)
IAR
Virgin Islands(7/15/2025)
RR
Virginia(7/15/2025)
IAR
Virginia(7/15/2025)
RR
Washington(7/15/2025)
IAR
Washington(7/15/2025)
RR
West Virginia(7/15/2025)
IAR
West Virginia(7/15/2025)
RR
Wisconsin(7/15/2025)
IAR
Wisconsin(7/15/2025)
RR
Wyoming(7/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CH
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.
CRD#: 110774 / SEC#: 801-60138
RIA
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Contact information
Main Address
One Williams Center 15th Floor, Tulsa, OK 74172-0172
Mailing Address
6242 E. 41st St. So, Tulsa, OK 74135
Phone number
(800) 958-2942
Established
Firm type
Fiscal year end
# of Employees
50
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,326 |
| AUM (Assets Under Management) | $ 14,223,562,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/18/2024 | ||
| 08/25/2023 | ||
| 09/26/2022 |
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.
Company Information
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
CRD#: 110774Tulsa, OK 74172TRUST BUT VERIFY
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