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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Mary Mathis's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2006

Experience

Current

May 18, 2017 - Present

BERKELEY ADVISORS, INC.

Office #1: 9 Lenox Pointe, N.e., Suite B, Atlanta, GA 30324-7412

RIA

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.

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.

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

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: 7/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2005

General Securities Representative Examination

Current Firm

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

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

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

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

17 JAN 2025 ADV BROCHURE FORM 2A + 2B + WRAP FEE - BERKELEY ADVISORS INC. (1/17/2025)

Regulatory assets under management

Total Number of Accounts	299
AUM (Assets Under Management)	$ 103,997,208

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Kermit Cottrell

STATE FARM VP MANAGEMENT CORP.

BLOOMINGTON, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Catherine M. Mathis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Mary Mathis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

Primary Firm SEC Registration

BERKELEY ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2005

SIE

Date: 6/16/2017

Series 7

Date: 6/30/2005

Current Firm

BERKELEY ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BERKELEY ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors