Catherine M. Mathis
BERKELEY ADVISORS
ATLANTA, GA 30324-7412
Some features on this profile are disabled
CRD#: 4988760
Professional summary
Catherine Mary Mathis, CFP®, who also goes by Catherine Mary Fox, is a registered financial advisor currently at BERKELEY ADVISORS, INC. located in Atlanta, Georgia.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Catherine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Mary Fox
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.
1)The Milner Group. Description of the Business: An insurance agency. Position: Non-Employee Insurance Product Originator. Investment Related: Yes, only if originating Variable Insurance Products; No for other insurance products. Duties: Use the Milner Group as an agency to facilitate development, purchase, and implementation of life insurance products. Compensation: 1099 commission based on product sold. Hours Per Month During Trading Hours: 2 per month. Hours Per Month Outside of Trading Hours: 1. Start Date: 12/11/2007. Address: 922A Hurricane Shoals Road, NE, Lawrenceville, GA 30043. 2)CatherineMathis.com. Description of the Business: Promotion of historical fiction novels. Position: Author, a novel set in medieval Portugal, Death in Coimbra. Duties: Search/engage an agent/publisher and promote the book. Investment Related: No. Compensation: None, yet. Hours Per Month During Trading Hours: 0. Hours Per Month Outside of Trading Hours: 5. Start Date: 07.21.2015. Address: 5121 Powers Ferry Road, Sandy Springs, GA 30327. 3)HamLam Properties, LLC. Description of the Business: Provide an office location for Berkeley Advisors, Inc. with excess space rented to other businesses if appropriate. Position: Member and 75% Owner. Duties: Guarantor of an SBA 7a 25-year fixed rate loan, manage the financial records, collect rent form tenant(s). The tenant is Berkeley Advisors, Inc., the RIA employing Catherine Mathis. Investment Related: No. Compensation: None. Long-term building capital appreciation. Hours Per Month During Trading Hours: 0. Hours Per Month Outside of Trading Hours: 5. Start Date: 07. 27.2021. Address: 9 Lenox Pointe NE, Suite B, Atlanta, GA 30324-7412. 4)Lenox Point 9 Condominium Association, Inc. Description of the Business: Condominium Association for a 2-unit building in order to obtain property insurance for the building. Position: CFO (Chief Financial Officer). Investment Related: No. Duties: Annually file for city and state operating licenses, file income tax return, and renew insurance policy and termite bond. Compensation: None. No. Hours Per Month During Trading Hours: 0. Hours Per Month Outside of Trading Hours: 1. Start Date: 12. 10.2021. Address: 9 Lenox Pointe NE, Suite B, Atlanta, GA 30324-7412. 5)Notary Public. Description of the Business: An accommodative service to notarize documents when requested or necessary but not a product or service advertised. Position: Notary Public. Investment Related: No. Duties: Follow rules and regulations for notarizing documents. Compensation: None. No. of Hours Per Month During Trading Hours: 0.10. Hours Per Month Outside of Trading Hours: 0. Start Date: 11.05.2021. Address: 9 Lenox Pointe NE, Suite B, Atlanta, GA 30324-7412.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Mary Mathis'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®
CFP®
Start date: 2006
Experience
Current
May 18, 2017 - Present
BERKELEY ADVISORS, INC.
Office #1: 9 Lenox Pointe, N.e., Suite B, Atlanta, GA 30324-7412RIA
CRD#: 134455
ATLANTA, GA
Past
December 8, 2005 - June 16, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ATLANTA, GA
Past
November 15, 2005 - June 16, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ATLANTA, GA
Past
July 21, 2005 - November 22, 2005
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
ATLANTA, GA
Past
July 1, 2005 - November 22, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
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".
BA
BERKELEY ADVISORS, INC.
BERKELEY ADVISORS, INC.
CRD#: 134455 / SEC#: 801-131712
RIA
Registered Investment Advisory firm - (12/26/2024 Approved)Georgia
Registered Investment Advisory firm - (1/23/2025 Terminated)Louisiana
Registered Investment Advisory firm - (1/3/2025 Terminated)Texas
Registered Investment Advisory firm - (1/3/2025 Terminated)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
Georgia(5/18/2017)
IAR
Louisiana(5/25/2017)
IAR
Texas(5/23/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BA
BERKELEY ADVISORS, INC.
BERKELEY ADVISORS, INC.
CRD#: 134455 / SEC#: 801-131712
RIA
Registered Investment Advisory firm - (12/26/2024 Approved)Georgia
Registered Investment Advisory firm - (1/23/2025 Terminated)Louisiana
Registered Investment Advisory firm - (1/3/2025 Terminated)Texas
Registered Investment Advisory firm - (1/3/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9 Lenox Pointe, N.e., Suite B, Atlanta, GA 30324-7412
Mailing Address
Phone number
(404) 580-9560
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 299 |
| AUM (Assets Under Management) | $ 103,997,208 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
