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SC

Stephen L. Catton

CATTON CAPITAL PARTNERS
SAN FRANCISCO, CA 94104
Some features on this profile are disabled
CRD#: 4338273
SC

Professional summary

Stephen L Catton is a registered financial advisor currently at CATTON CAPITAL PARTNERS, LLC located in San Francisco, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen L Catton'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®
None

Experience

Current

December 9, 2025 - Present

CATTON CAPITAL PARTNERS, LLC

Office #1: 555 California St. 29th Floor, San Francisco, CA, 94104
RIA
CRD#: 339336
SAN FRANCISCO, CA
Past

April 3, 2001 - June 4, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WALNUT CREEK, CA
Past

March 9, 2001 - June 4, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WALNUT CREEK, CA

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
(12/9/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/26/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2001
General Securities Representative Examination

Current Firm

CC
CATTON CAPITAL PARTNERS, LLC
CATTON CAPITAL PARTNERS, LLC

CRD#: 339336 / SEC#: 801-134906

RIA
Registered Investment Advisory firm - (12/8/2025 120-Day Approval)
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Contact information

Main Address
555 California St. 29th Floor, San Francisco, CA, 94104
Mailing Address
268 Bush St. #4210, San Francisco, CA 94104
Phone number
(415) 234-0470
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (1 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (11/6/2025)
0

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

CATTON CAPITAL PARTNERS, LLC

CRD#: 339336San Francisco, CA 94104

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