Catherine P. Walsh-roohe
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 Priscilla Walsh-roohe, who also goes by Kate Roohe, Catherine Priscilla Walsh-roohe, Catherine Priscilla Walshroohe, Kate Priscilla Walshroohe, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1999. Catherine had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
February 23, 2017 - January 2, 2023
TRUST ADVISORY GROUP LTD
February 16, 2017 - January 2, 2023
AGES FINANCIAL SERVICES, LTD.
June 11, 2012 - July 24, 2017
SOURCE CAPITAL GROUP, INC.
June 11, 2012 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
July 20, 2007 - June 26, 2012
GILFORD FINANCIAL CORP.
June 2, 2006 - June 26, 2012
GILFORD SECURITIES INCORPORATED
May 23, 2002 - June 22, 2006
UBS FINANCIAL SERVICES INC.
January 19, 2000 - June 22, 2006
UBS FINANCIAL SERVICES INC.
June 2, 1999 - November 22, 1999
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
Primary Firm SEC Registration
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
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
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
Contact information
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,720 |
| AUM (Assets Under Management) | $ 494,407,359 |
Red Flags
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