Catherine S. Woodruff
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 Sherman Woodruff, who also goes by Catherine Duncan Sherman, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2003. Catherine had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2018 - September 27, 2019
FRUTH INVESTMENT MANAGEMENT
November 14, 2017 - March 28, 2018
ASSET MANAGEMENT ADVISORS INC
March 28, 2013 - August 29, 2015
AVALON INVESTMENT & ADVISORY
November 30, 2009 - April 3, 2013
HOUSTON GLOBAL INVESTORS, LLC
January 2, 2003 - January 2, 2009
GARCIA HAMILTON & ASSOCIATES LP
Primary Firm SEC Registration
FRUTH INVESTMENT MANAGEMENT
CRD#: 107273 / SEC#: 801-40948
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
FRUTH INVESTMENT MANAGEMENT
CRD#: 107273 / SEC#: 801-40948
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 434 |
| AUM (Assets Under Management) | $ 404,508,318 |
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.
