Catherine E. Bock
Professional summary
Catherine Elise Bock, CFP®, who also goes by Catherine Elise Leggett, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Oaks, Pennsylvania.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Catherine has worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Elise Bock's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2016 - Present
SEI INVESTMENTS MANAGEMENT CORP
Office #1: One Freedom Valley Drive, Oaks, PA 19456June 12, 2012 - March 30, 2016
HIRTLE, CALLAGHAN & CO., LLC
October 20, 2011 - June 6, 2012
NEW ENGLAND SECURITIES
August 31, 2011 - June 6, 2012
NEW ENGLAND SECURITIES
March 3, 2011 - June 9, 2011
VOYA FINANCIAL ADVISORS, INC.
February 11, 2011 - June 9, 2011
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
SEI INVESTMENTS MANAGEMENT CORP
CRD#: 105146 / SEC#: 801-24593
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/7/2016)
Exams
Current Firm
SEI INVESTMENTS MANAGEMENT CORP
CRD#: 105146 / SEC#: 801-24593
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 99,603 |
| AUM (Assets Under Management) | $ 198,143,431,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/27/2025 | ||
| 10/25/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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