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CV

Cathy M. Vasilev

Some features on this profile are disabled
CRD#: 4413359
CV

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.

Cathy Marvetta Vasilev, who also goes by Cathy Marvetta Cook, Cathy Marvetta Vasilev, Cathy Vasilev, was a registered financial professional .

Cathy is a previously registered financial professional and started their career in finance in 2001. Cathy had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cathy Marvetta Cook | Cathy Marvetta Vasilev | Cathy Vasilev

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)

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

May 3, 2022 - August 22, 2022

REALIZED FINANCIAL, INC.

BD
CRD#: 22333
AUSTIN, TX
Past

March 15, 2019 - November 4, 2019

REALIZED FINANCIAL, INC.

BD
CRD#: 22333
AUSTIN, TX
Past

June 18, 2018 - January 22, 2019

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Cedar Park, TX
Past

April 13, 2015 - January 3, 2017

COINSHARES CAPITAL LLC

BD
CRD#: 170506
Clarks Summit, PA
Past

August 20, 2014 - August 11, 2016

PT SECURITIES, LLC

BD
CRD#: 169662
ANCHORAGE, AK
Past

August 19, 2014 - June 30, 2016

OXFORD CAPITAL, LLC

BD
CRD#: 166637
NEW YORK, NY
Past

January 13, 2012 - November 8, 2016

SALT SPRAY CAPITAL

BD
CRD#: 149675
AUSTIN, TX
Past

February 16, 2011 - July 11, 2012

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
AUSTIN, TX
Past

March 22, 2005 - March 1, 2010

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

February 6, 2002 - March 24, 2005

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

July 19, 2001 - August 20, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
Series 63
Date: 12/10/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/9/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RF
REALIZED FINANCIAL, INC.
REALIZED FINANCAL, INC. | THORNHILL SECURITIES, INC. | THORNHILL BROKERAGE, INC. | REALIZED FINANCIAL, INC.

CRD#: 22333 / SEC#: 801-70703, 8-39659

RIA
Registered Investment Advisory firm - SEC (3/25/2015 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/27/2014 Approved)
Texas
Registered Investment Advisory firm - SEC (6/6/2014 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
500 W. 13th Street, Austin, TX 78701
Mailing Address
500 W. 13th Street, Austin, TX 78701
Phone number
(512) 472-7171
Established
Texas since 03/29/1988
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
14

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
REALIZED HOLDINGS INCCORPORATION
DAHILL, DAVID PCEO6581024
DAHILL, DAVID PFINOP6581024
ELLIOTT, STEPHANIE NICOLECCO2476636
ELLIOTT, STEPHANIE NICOLEPRESIDENT2476636
MEDINA, GABRIEL OCOO5061047

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

REALIZED FINANCIAL, INC.

CRD#: 22333

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