Cathy J. Milligan
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.
Cathy Jo Milligan was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 2008. Cathy had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2021 - December 20, 2022
MARINER WEALTH
May 16, 2014 - September 13, 2021
CHANNEL ISLANDS GROUP
April 21, 2008 - July 23, 2015
THE RENAISSANCE GROUP, LLC
April 8, 2008 - June 17, 2014
LPL FINANCIAL LLC
January 24, 2008 - June 17, 2014
LPL FINANCIAL LLC
Primary Firm SEC Registration
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
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
Current Firm
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 155,767 |
| AUM (Assets Under Management) | $ 98,603,233,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/19/2024 | ||
| 12/21/2023 |
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.
