Catherine Rosenfeld
Professional summary
Catherine Rosenfeld, who also goes by Catherine Louise Franchi, Catherine Franchi Rosenfeld, is a registered financial professional currently at USAA INVESTMENT SERVICES COMPANY located in Tampa, Florida.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2004. Catherine has worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catherine Rosenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2025 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 17200 Commerce Park Blvd, Tampa, FL 33647January 8, 2018 - June 23, 2020
USAA INVESTMENT SERVICES COMPANY
September 27, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
September 12, 2013 - June 22, 2020
USAA FINANCIAL ADVISORS, INC.
September 9, 2008 - August 29, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 8, 2008 - August 29, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 1, 2007 - July 9, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 24, 2007 - July 9, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 6, 2006 - January 10, 2007
GUNNALLEN FINANCIAL, INC
August 30, 2006 - January 10, 2007
GUNNALLEN FINANCIAL, INC
March 27, 2006 - August 15, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 16, 2006 - August 15, 2006
AMSOUTH INVESTMENT SERVICES, INC.
June 15, 2004 - March 7, 2006
PRUCO SECURITIES, LLC.
January 28, 2004 - March 7, 2006
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Series 7TO
Date: 2/7/2024
General Securities Representative ExaminationFINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
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 |
| 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
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