CL
Catherine A. Lopez
USAA INVESTMENT SERVICES COMPANY
Phoenix, AZ 85085
Some features on this profile are disabled
CRD#: 4546054
CL
Professional summary
Catherine Anne Lopez, who also goes by Catherine Anne Lindauer, Catherine Lindauer Lopez, Catherine Anne Molina, Catherine Ann Shapiro, Catherine Anne Shapiro, is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in Phoenix, 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 10 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Anne Lindauer | Catherine Lindauer Lopez | Catherine Anne Molina | Catherine Ann Shapiro | Catherine Anne Shapiro
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.
*Company Name: Treasure Trolls LLC *Investment related: No *Business Address: Private Residence *Nature of Business: Resale of merchandise. *Position: Co-owner *Start Date: 06/01/2024 *Number of work hours/Month: 5 hours *Number of work hours during security trading hours: None. *Duties: Buy and sell items of value different technology programs such as Ebay, Poshmark, EJ's Auctions, Etsy.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Anne Lopez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Catherine Anne Lopez's 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®
NoneExperience
Current
November 6, 2020 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Current
June 8, 2020 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Past
January 8, 2018 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
January 4, 2017 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
Phoenix, AZ
Past
January 3, 2017 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
May 29, 2015 - November 28, 2016
COMERICA SECURITIES
RIA
CRD#: 17079
PHOENIX, AZ
Past
April 28, 2015 - November 28, 2016
COMERICA SECURITIES
BD
CRD#: 17079
PHOENIX, AZ
Past
July 16, 2013 - May 19, 2015
NORTHPOINTE FINANCIAL, LLC
RIA
CRD#: 165118
PEORIA, AZ
Past
July 3, 2013 - April 27, 2015
TAYLOR CAPITAL MANAGEMENT INC.
BD
CRD#: 43559
PEORIA, AZ
Past
August 2, 2012 - July 5, 2013
CETERA ADVISORS LLC
RIA
CRD#: 10299
PEORIA, AZ
Past
July 24, 2012 - July 5, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
PEORIA, AZ
Past
September 24, 2010 - July 13, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SCOTTSDALE, AZ
Past
September 20, 2010 - July 13, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, AZ
Past
September 10, 2010 - September 15, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
GLENDALE, AZ
Past
September 12, 2005 - September 9, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
PEORIA, AZ
Past
August 23, 2005 - September 9, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
PEORIA, AZ
Past
August 15, 2002 - July 29, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SUN CITY, AZ
Past
June 26, 2002 - July 29, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2020)
RR
Alaska(6/8/2020)
RR
Arizona(6/8/2020)
IAR
Arizona(8/19/2022)
RR
Arkansas(6/8/2020)
RR
California(6/8/2020)
RR
Colorado(6/8/2020)
RR
Connecticut(6/8/2020)
RR
Delaware(6/8/2020)
RR
District of Columbia(6/8/2020)
RR
Florida(6/10/2020)
RR
Georgia(6/8/2020)
RR
Hawaii(6/8/2020)
RR
Idaho(6/8/2020)
RR
Illinois(6/8/2020)
RR
Indiana(6/8/2020)
RR
Iowa(6/8/2020)
RR
Kansas(6/8/2020)
RR
Kentucky(6/8/2020)
RR
Louisiana(6/8/2020)
RR
Maine(6/8/2020)
RR
Maryland(6/8/2020)
RR
Massachusetts(6/29/2020)
RR
Michigan(6/8/2020)
RR
Minnesota(6/8/2020)
RR
Mississippi(6/8/2020)
RR
Missouri(6/8/2020)
RR
Montana(6/8/2020)
RR
Nebraska(6/8/2020)
RR
Nevada(6/8/2020)
RR
New Hampshire(6/8/2020)
RR
New Jersey(6/8/2020)
RR
New Mexico(6/8/2020)
RR
New York(6/8/2020)
RR
North Carolina(6/8/2020)
RR
North Dakota(6/8/2020)
RR
Ohio(6/8/2020)
RR
Oklahoma(6/8/2020)
RR
Oregon(6/8/2020)
RR
Pennsylvania(6/8/2020)
RR
Puerto Rico(6/8/2020)
RR
Rhode Island(6/8/2020)
RR
South Carolina(6/8/2020)
RR
South Dakota(6/8/2020)
RR
Tennessee(6/8/2020)
RR
Texas(6/8/2020)
IAR
Texas(11/6/2020)
RR
Utah(6/8/2020)
RR
Vermont(6/8/2020)
RR
Virgin Islands(6/8/2020)
RR
Virginia(6/8/2020)
RR
Washington(6/8/2020)
RR
West Virginia(6/8/2020)
RR
Wisconsin(6/8/2020)
RR
Wyoming(6/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
