Cathy A. Humphrey
Professional summary
Cathy Ann Humphrey is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Washington, District Of Columbia.
Cathy is registered as a RR (Registered Representative) and started their career in finance in 2005. Cathy has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cathy Ann Humphrey's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2005 - Present
ULLICO INVESTMENT COMPANY, LLC
Office #1: 1625 Eye Street, Nw, Washington, DC 20006Office #2: 8403 Colesville Rd. 13th Floor, Silver Spring, MD 20910State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/1/2006)
(11/1/2005)
(1/1/2006)
(5/13/2014)
(12/22/2005)
(5/12/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195 / SEC#: , 8-66906
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULLICO INC. | SOLE SHAREHOLDER | |
| HUMPHREY, CATHY ANN | CHIEF OPERATIONS OFFICER | 4899999 |
| HUMPHREY, CATHY ANN | DIRECTOR | 4899999 |
| LAROCQUE, RICHARD FRANCIS | CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC | 2874559 |
| LINEHAN, JOSEPH RICHARD | GEN. SEC. PRINC.; AND PRESIDENT | 4951041 |
| LINEHAN, JOSEPH RICHARD | DIRECTOR | |
| YU, YINAN | CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR | 7787306 |
Red Flags
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