Catherine B. Smith Anderson
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 Barbara Smith Anderson, who also goes by Kate Anderson, Catherine Barbara Smith, Kate Smith, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1999. Catherine had worked at 4 firms and has passed the Series 65, Series 63 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
January 3, 2017 - April 12, 2021
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
March 23, 2004 - December 31, 2016
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
May 22, 2001 - October 8, 2004
CRISP HUGHES EVANS FINANCIAL SERVICES
August 22, 2000 - July 15, 2004
CAP PRO BROKERAGE SERVICES, INC.
September 22, 1999 - August 23, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
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
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
CRD#: 109279 / SEC#: 801-58035
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,168 |
| AUM (Assets Under Management) | $ 2,206,001,630 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2021 |
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.
