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CC

Catherine E. Crumley

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CRD#: 6839243
CC

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 Crumley, who also goes by Catherine Elizabeth Colliatie, was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 2017. Catherine had worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Elizabeth Colliatie

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2018 - November 9, 2021

CAPITAL INVESTMENT ADVISORS

RIA
CRD#: 118269
WASHINGTON D.C., DC
Past

November 29, 2017 - November 23, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Washington, DC

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".
CI
CAPITAL INVESTMENT ADVISORS
CAPITAL ASSET MANAGEMENT GROUP, INC. | INSTITUTE FOR FINANCIAL INDEPENDENCE | INNOVATIVE INVESTING | FORTRESS FINANCIAL | CAPITAL INVESTMENT ADVISORS, INC. | CAPITAL INVESTMENT ADVISORS | CAPITAL FINANCIAL PLANNING GROUP, INC.

CRD#: 118269 / SEC#: 801-110008

RIA
Registered Investment Advisory firm - (2/27/2017 Approved)
Delaware
Registered Investment Advisory firm - (3/15/2017 Terminated)
District of Columbia
Registered Investment Advisory firm - (3/13/2017 Terminated)
Maryland
Registered Investment Advisory firm - (4/14/2017 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/15/2017 Terminated)
Virginia
Registered Investment Advisory firm - (3/13/2017 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/7/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2018
General Securities Principal Examination

Current Firm

CI
CAPITAL INVESTMENT ADVISORS
CAPITAL ASSET MANAGEMENT GROUP, INC. | INSTITUTE FOR FINANCIAL INDEPENDENCE | INNOVATIVE INVESTING | FORTRESS FINANCIAL | CAPITAL INVESTMENT ADVISORS, INC. | CAPITAL INVESTMENT ADVISORS | CAPITAL FINANCIAL PLANNING GROUP, INC.

CRD#: 118269 / SEC#: 801-110008

RIA
Registered Investment Advisory firm - (2/27/2017 Approved)
Delaware
Registered Investment Advisory firm - (3/15/2017 Terminated)
District of Columbia
Registered Investment Advisory firm - (3/13/2017 Terminated)
Maryland
Registered Investment Advisory firm - (4/14/2017 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/15/2017 Terminated)
Virginia
Registered Investment Advisory firm - (3/13/2017 Terminated)
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Contact information

Main Address
1000 Potomac Street N.w. Suite 300, Washington D.c., DC 20007
Mailing Address
Phone number
(240) 482-4000
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CIA FORM ADV 2A FIRM BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts1,416
AUM (Assets Under Management)$ 302,256,086

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.

Company Information

CAPITAL INVESTMENT ADVISORS

CRD#: 118269

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