Catherine M. Newman

INCOME & ASSET ADVISORY

Armonk, NY 10504

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CRD#: 5631129

Professional summary

Catherine Marie Newman is a registered financial advisor currently at INCOME & ASSET ADVISORY, INC. located in Armonk, New York and OSAIC WEALTH, INC. located in Armonk, New York.

Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Catherine has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. HUGH T MCGOWAN REVOCABLE TRUST POSITION: Trustee/Executor NATURE: Trustee INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/03/2019 ADDRESS: 165 Valley Road, Katonah NY 10504, United States DESCRIPTION: Admin 2. KATONAH CAPITAL GROUP LLC POSITION: Admin NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/03/2007 ADDRESS: 80 Business Park Drive Suite 108, Armonk NY 10504, United States DESCRIPTION: Admin 3. KATONAH CAPITAL GROUP LLC POSITION: Assistant NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/03/2020 ADDRESS: 80 Business Park Drive Suite 108, Armonk NY 10504, United States DESCRIPTION: Bookkeeping 4. INCOME & ASSET ADVISORY INC POSITION: Registered Assistant NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 03/01/2012 ADDRESS: 80 Business Park Drive, Suite 108, Armonk NY 10504, United States DESCRIPTION: Admin

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Marie Newman'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®

None

Experience

Current

November 23, 2015 - Present

INCOME & ASSET ADVISORY, INC.

Office #1: 80 Business Park Drive, Suite 108, Armonk, NY 10504

RIA

CRD#: 124955

Armonk, NY

Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 80 Business Park Dr. Suite 108, Armonk, NY 10504

RIA

CRD#: 23131

ARMONK, NY

Past

May 2, 2011 - August 12, 2015

FOGEL NEALE WEALTH MANAGEMENT, LLC

RIA

CRD#: 149329

NEW YORK, NY

Past

November 2, 2010 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ARMONK, NY

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".

INCOME & ASSET ADVISORY, INC.

INCOME & ASSET ADVISORY, INC. | KATONAH CAPITAL GROUP

CRD#: 124955 / SEC#: 801-69801

RIA

Registered Investment Advisory firm - (1/2/2009 Approved)

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

New Jersey
(11/23/2015)

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: 4/29/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INCOME & ASSET ADVISORY, INC.

INCOME & ASSET ADVISORY, INC. | KATONAH CAPITAL GROUP

CRD#: 124955 / SEC#: 801-69801

RIA

Registered Investment Advisory firm - (1/2/2009 Approved)

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Contact information

Main Address

80 Business Park Drive, Suite 108, Armonk, NY 10504

Mailing Address

Phone number

(914) 273-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IAA FIRM BROCHURE (7/16/2025)

Regulatory assets under management

Total Number of Accounts	455
AUM (Assets Under Management)	$ 136,061,350

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.

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Firm Stability Insights

Catherine M. Newman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Marie Newman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FOGEL NEALE WEALTH MANAGEMENT, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INCOME & ASSET ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2011

SIE

Date: 10/1/2018

Series 7

Date: 11/1/2010

FINRA

Current Firm

INCOME & ASSET ADVISORY, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INCOME & ASSET ADVISORY, INC.

TRUST BUT VERIFY

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