Catherine M. Clark
Professional summary
Catherine Marie Clark, CFP®, who also goes by Catherine M Augustine, Catherine Marie Augustine, Catherine Augustine, Catherine M Clark, Catherine Clark, Catherine M White, Catherine White, White Marie White, Catherine M Wiley, Catherine Marie Wiley, Catherine Wiley, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Catherine has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Marie Clark's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
July 26, 2021 - Present
VANGUARD ADVISERS, INC.
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260July 26, 2021 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260March 1, 2021 - June 15, 2021
PFS INVESTMENTS INC.
March 1, 2021 - June 15, 2021
PFS INVESTMENTS INC.
September 14, 2015 - March 5, 2019
CHARLES SCHWAB & CO., INC.
September 11, 2015 - March 5, 2019
CHARLES SCHWAB & CO., INC.
September 16, 2013 - July 16, 2015
CUNA BROKERAGE SERVICES, INC.
September 16, 2013 - July 16, 2015
CUNA BROKERAGE SERVICES, INC.
April 4, 2006 - March 6, 2012
LPL FINANCIAL LLC
April 4, 2006 - March 6, 2012
LPL FINANCIAL LLC
May 4, 2004 - May 23, 2005
VALIC FINANCIAL ADVISORS, INC.
January 31, 2003 - May 23, 2005
VALIC FINANCIAL ADVISORS, INC.
April 2, 2002 - February 26, 2003
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/27/2021)
(7/27/2021)
(7/26/2021)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
