Catherine L. Brookfield
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 Louise Brookfield, who also goes by Catherine Louise Lukas, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1999. Catherine had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2009 - March 13, 2012
FAS WEALTH PARTNERS, INC.
November 16, 1999 - November 7, 2003
CITIGROUP GLOBAL MARKETS INC.
January 27, 1999 - November 11, 1999
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
FAS WEALTH PARTNERS, INC.
CRD#: 109796 / SEC#: 801-19282
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
Current Firm
FAS WEALTH PARTNERS, INC.
CRD#: 109796 / SEC#: 801-19282
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,010 |
| AUM (Assets Under Management) | $ 3,085,389,748 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/01/2025 | ||
| 01/31/2024 | ||
| 01/31/2023 |
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.
