Catherine Leigh Henning
Professional Summary
Catherine Leigh Henning is a registered financial advisor currently at PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY located in Glendale, California. Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Catherine has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO | PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY
Contact Information
Main Address
500 N. Brand Blvd Ste 2160, Glendale, CA 91203Phone Number
(800) 404-6693# of Employees
6SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
198AUM (Assets Under Management)
$87,496,356Similar Advisors
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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.
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MORGAN STANLEY
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Primary Firm SEC Registration
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO | PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY
State Registrations and Notice Filings
(9/22/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1997About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Catherine Leigh Henning's CRS (Customer Relationship Summary).
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