CL
Catherine S. Loquet
FINANCIAL & TAX ARCHITECTS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 3021480
CL
Professional summary
Catherine Soo Loquet, who also goes by Catherine Chun Leong Soo, Catherine Soo, is a registered financial advisor currently at FINANCIAL & TAX ARCHITECTS, LLC located in Newport Beach, California.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Catherine has worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Chun Leong Soo | Catherine Soo
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. ADVANCED WEALTH MANAGEMENT, INC.; INVESTMENT-RELATED; NEWPORT BEACH, CA; INSURANCE; OWNER/AGENT; START 02/2002; APPROX. 20 HOURS PER MONTH; APPROX. 10 HOURS PER MONTH DURING TRADING HOURS; INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Soo Loquet'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 9, 2024 - Present
FINANCIAL & TAX ARCHITECTS, LLC
Office #1: 4343 Von Karman Avenue Ste 100p, Newport Beach, CA 92660RIA
CRD#: 119169
Newport Beach, CA
Past
June 27, 2012 - February 28, 2013
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
IRVINE, CA
Past
June 26, 2012 - February 28, 2013
ARQUE CAPITAL, LTD.
BD
CRD#: 121192
SCOTTSDALE, AZ
Past
May 2, 2011 - June 30, 2012
ACCELERATED CAPITAL GROUP
BD
CRD#: 41270
IRVINE, CA
Past
July 13, 2005 - November 3, 2010
WAVELAND CAPITAL PARTNERS LLC
RIA
CRD#: 40054
IRVINE, CA
Past
March 7, 2005 - August 31, 2005
WAVELAND INVESTMENT ADVISORS, LLC
RIA
CRD#: 119505
PASADENA, CA
Past
January 4, 2005 - November 3, 2010
WAVELAND CAPITAL PARTNERS LLC
BD
CRD#: 40054
IRVINE, CA
Past
July 11, 2002 - December 31, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
July 29, 1999 - July 14, 2000
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
March 31, 1999 - July 22, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
September 2, 1998 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
March 23, 1998 - August 27, 1998
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
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".
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)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
California(1/9/2024)
IAR
Texas(1/13/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12412 Powerscourt Drive Suite 25, St. Louis, MO 63131
Mailing Address
Phone number
(314) 858-1122
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,347 |
| AUM (Assets Under Management) | $ 443,026,713 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
