Catherine G. Hsu

MAGNOLIA CAPITAL ASSET MANAGEMENT LLC

Irvine, CA 92618

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CRD#: 4738294

Professional summary

Catherine Gao Hsu, who also goes by Catherine Gao, XIaohong Gao, Catherine Gao Hsu, is a registered financial advisor currently at MAGNOLIA CAPITAL ASSET MANAGEMENT LLC located in Irvine, California.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Catherine has worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Gao | Xiaohong Gao | Catherine Gao Hsu

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.

Co-GP of Senior Living LLC and managing member of the investment LLC (Magnolia Capital Management LLC)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Gao Hsu'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®

None

Experience

Current

November 10, 2022 - Present

MAGNOLIA CAPITAL ASSET MANAGEMENT LLC

Office #1: 100 Spectrum Center Drive Suite 900, Irvine, CA 92618

RIA

CRD#: 323624

Irvine, CA

Past

February 10, 2017 - April 4, 2022

COLORADO FINANCIAL SERVICE CORPORATION

RIA

CRD#: 104343

Irvine, CA

Past

February 10, 2017 - April 4, 2022

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

Irvine, CA

Past

April 12, 2016 - July 20, 2016

FIVE 9 SECURITIES, LLC

CRD#: 114853

LADERA RANCH, CA

Past

April 1, 2015 - January 18, 2017

ALPHA STRATEGIES INVESTMENT CONSULTING

RIA

CRD#: 151782

IRVINE, CA

Past

April 21, 2014 - June 4, 2014

DMK ADVISOR GROUP, INC.

CRD#: 41067

IRVINE, CA

Past

November 22, 2011 - June 13, 2012

SPC

RIA

CRD#: 110692

ROWLAND HEIGHTS, CA

Past

September 8, 2010 - July 18, 2011

SPC

RIA

CRD#: 110692

ROWLAND HEIGHTS, CA

Past

September 8, 2010 - June 13, 2012

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ROWLAND HEIGHTS, CA

Past

April 16, 2007 - June 19, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PASADENA, CA

Past

April 16, 2007 - June 19, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PASADENA, CA

Past

April 2, 2007 - April 17, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BREA, CA

Past

April 2, 2007 - April 17, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

BREA, CA

Past

March 15, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BREA, CA

Past

January 28, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BREA, 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
(11/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/6/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/27/2004

General Securities Representative Examination

Current Firm

MAGNOLIA CAPITAL ASSET MANAGEMENT LLC

CRD#: 323624 / SEC#:

California

Registered Investment Advisory firm - (11/10/2022 Approved)

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Contact information

Main Address

100 Spectrum Center Drive Suite 900, Irvine, CA 92618

Mailing Address

Phone number

(949) 899-1573

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 300,000

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.

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Advisor Monitoring

Firm Stability Insights

Catherine G. Hsu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Gao Hsu's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLORADO FINANCIAL SERVICE CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION

FIVE 9 SECURITIES, LLC

ALPHA STRATEGIES INVESTMENT CONSULTING

DMK ADVISOR GROUP, INC.

SPC

SPC

SIGMA FINANCIAL CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2004

SIE

Date: 10/1/2018

Series 31

Date: 4/6/2004

Series 7

Date: 1/27/2004

Current Firm

MAGNOLIA CAPITAL ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAGNOLIA CAPITAL ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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