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CD

Catherine E. Dolphyn

Some features on this profile are disabled
CRD#: 3234468
CD

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 English Dolphyn, who also goes by Catherine E Dolphyn, Catherine Rose English, was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 2008. Catherine had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine E Dolphyn | Catherine Rose English

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. Business Name: Sturtevant Inc Investment Related: No Address: 348 Circuit St Hanover MA 02339 Nature of Business: Other Other/None of the Above Attending and recording minutes of board meetings; engaging in discussion of current business conditions and business planning Position, Title or Relationship: Advisor to Board of Directors/Clerk of Corp and family member/Stockholder Start Date: 5/1/1987 Hours per month: 0% � 10% (0 � 16 hours) Hours per month during trading hours: 0% � 10% (0 � 14 hours) Duties: Attending and recording minutes of board meetings; engaging in discussion of current business conditions and business planning 2. Ms. Dolphyn is dually registered with PRW Wealth Management, LLC ("PRW") and Lion Street Financial, LLC ("Lion Street").Ms. Dolphyn has served as an investment advisor representative for PRW and a registered representative with Lion Street since 11/2016. Business is conducted from 1 Pine Hill Drive, Suite 520, Quincy, MA 02169. Approximately 90% of Ms. Dolphyn's time is for services as an investment advisor representative and the balance as a registered representative. 3. Ms. Dolphyn is a Notary Public for the state of Massachusetts. Not Investment related. Located at 1 Pine Hill Drive, Suite 520, Quincy, MA 02169. Hours per month during trading hours: 1

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 21, 2018 - May 9, 2022

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
Quincy, MA
Past

November 23, 2016 - May 16, 2022

PRW WEALTH MANAGEMENT LLC

RIA
CRD#: 284669
QUINCY, MA
Past

May 9, 2016 - December 5, 2016

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
QUINCY, MA
Past

March 15, 2016 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
QUINCY, MA
Past

June 9, 2015 - December 5, 2016

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
QUINCY, MA
Past

February 15, 2012 - June 1, 2015

MSA FINANCIAL

RIA
CRD#: 107768
BRAINTREE, MA
Past

July 27, 2010 - January 11, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
BRAINTREE, MA
Past

August 11, 2008 - June 4, 2015

SECURITIES AMERICA, INC.

BD
CRD#: 10205
BRAINTREE, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/17/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2008
General Securities Representative Examination

Current Firm

LS
LION STREET FINANCIAL, LLC
LION STREET FINANCIAL, LLC

CRD#: 165828 / SEC#: , 8-69183

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 Colorado St Suite 2600, Austin, TX 78701
Mailing Address
300 Colorado St Suite 2600, Austin, TX 78701
Phone number
(512) 776-8400
Established
Delaware since 01/07/2022
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LION STREET, LLCHOLDING COMPANY
BURMEISTER, JOHN FREDRICK IIPRESIDENT & CEO4245451
HECKLER, CARIE MARIECHIEF COMPLIANCE OFFICER4557559
RATAJCZAK, KARIFINANCIAL & OPERATIONS PRINCIPAL6008791

Disclosures

Regulatory Event1

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

LION STREET FINANCIAL, LLC

CRD#: 165828

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