Catherine E. Henke-norris
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 Elizabeth Henke-norris, who also goes by Cathy Lynn Asbury, Catherine Elizabeth Henke, Catherine Nmn Henke-norris, Catherine Elizabeth Norris, Catherine Elizabeth Sneed, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2009. Catherine had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2009 - December 21, 2023
CAPITAL ADVANTAGE, INC.
Primary Firm SEC Registration
CAPITAL ADVANTAGE, INC.
CRD#: 108985 / SEC#: 801-55896
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
CAPITAL ADVANTAGE, INC.
CRD#: 108985 / SEC#: 801-55896
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,830 |
| AUM (Assets Under Management) | $ 1,111,637,065 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2023 |
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.
