Catherine M. Alvarez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Meaghan Alvarez, who also goes by Meaghan Alvarez, Catherine Meaghan Cosgrove, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2007. Catherine had worked at 7 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2020 - September 26, 2023
PRINCIPAL SECURITIES, INC.
January 22, 2020 - September 26, 2023
PRINCIPAL SECURITIES, INC.
April 27, 2015 - December 19, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 27, 2015 - December 19, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 23, 2014 - October 3, 2014
LPL FINANCIAL LLC
June 23, 2014 - October 3, 2014
LPL FINANCIAL LLC
December 11, 2013 - April 14, 2014
INDEPENDENT FINANCIAL GROUP, LLC
December 10, 2013 - April 14, 2014
INDEPENDENT FINANCIAL GROUP, LLC
April 27, 2012 - October 7, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
December 11, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
January 23, 2008 - October 4, 2013
FIRST ALLIED SECURITIES, INC.
May 30, 2007 - January 15, 2008
LPL FINANCIAL LLC
January 18, 2007 - January 15, 2008
LPL FINANCIAL LLC
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
