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Catherine Mary Magana

Catherine M. Magana

WWM FINANCIAL
Carlsbad, CA 92011
Some features on this profile are disabled
CRD#: 3235785
Catherine Mary Magana

Professional summary

Catherine Mary Magana, CFP®, who also goes by Catherine M Fierro, Catherine Magana, is a registered financial advisor currently at WWM FINANCIAL located in Carlsbad, California.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Catherine has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Catherine M Fierro | Catherine Magana

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)PARTNERS IN EDUCATION; NOT INVESTMENT RELATED; 5934 PRIESTLY DRIVE CARLSBAD, CA 92008; EDUCATIONAL AND SCHOLARSHIP SUPPORT; CHAIRMAN OF BOARD MEMBER; 01/2020; <1 HOURS/MONTH; <1 HOURS DURING SECURITIES HOURS; TO ACT AS A VOTING MEMBER OF THE BOARD WITH FULL AUTHORITY AND RESPONSIBILITY TO DEVELOP POLICIES, PROCEDURE AND REGULATIONS FOR THE OPERATION OF THIS ASSOCIATION (2) FINANCIAL PLANNING ASSOCIATION OF CALIFORNIA; NOT INVESTMENT RELATED; 1290 BROADWAY, SUITE 1625, DENVER CO 80203, SEEKING TO BRING ATTENTION TO REGULATORY AND LEGISLATIVE ISSUES (PRIMARILY CA) THAT CONCERN MEMBERS STATEWIDE; BOARD MEMBER SINCE 2019, SERVED AS CHAIR AND PRESIDENT ENDING 2022, 2 HOURS/MONTH, NONE DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Mary Magana's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Current

July 29, 2011 - Present

WWM FINANCIAL

Office #1: 2131 Palomar Airport Rd Suite 330, Carlsbad, CA 92011
RIA
CRD#: 157620
Carlsbad, CA
Past

July 29, 2011 - December 31, 2017

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
CARLSBAD, CA
Past

January 6, 2011 - August 23, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CARLSBAD, CA
Past

January 6, 2011 - August 23, 2011

MORGAN STANLEY

BD
CRD#: 149777
CARLSBAD, CA
Past

April 22, 2002 - January 6, 2011

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CARLSBAD, CA
Past

December 6, 2000 - January 6, 2011

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CARLSBAD, 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".
WF
WWM FINANCIAL
SAVVY DOC FINANCIAL PLANNERS | WWM FINANCIAL INSURANCE SOLUTIONS LLC | WWM FINANCIAL | WOLFF WIESE MAGANA LLC | WOLFF WIESE MAGANA | SWWM | SCCWWM, LLC | SAVVY WOMEN WEALTH MANAGEMENT

CRD#: 157620 / SEC#: 801-72588

RIA
Registered Investment Advisory firm - (7/29/2011 Approved)

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
(7/29/2011)
IAR
Texas
(7/21/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/6/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/13/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2000
General Securities Representative Examination

Current Firm

WF
WWM FINANCIAL
SAVVY DOC FINANCIAL PLANNERS | WWM FINANCIAL INSURANCE SOLUTIONS LLC | WWM FINANCIAL | WOLFF WIESE MAGANA LLC | WOLFF WIESE MAGANA | SWWM | SCCWWM, LLC | SAVVY WOMEN WEALTH MANAGEMENT

CRD#: 157620 / SEC#: 801-72588

RIA
Registered Investment Advisory firm - (7/29/2011 Approved)
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Contact information

Main Address
2131 Palomar Airport Rd. Suite 330, Carslbad, CA 92011
Mailing Address
Phone number
(760) 692-5190
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (13 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WWM - ADV PART 2A: FIRM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts1,548
AUM (Assets Under Management)$ 342,090,884

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

WWM FINANCIAL

CRD#: 157620Carlsbad, CA 92011

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