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CA

Catherine L. Andersen

LPL ENTERPRISE
SHELTON, CT 06484
Some features on this profile are disabled
CRD#: 6956267
CA
Catherine Leeming AndersenLPL ENTERPRISE

Professional summary

Catherine Leeming Andersen, who also goes by Catherine L Andersen, Catherine Andersen, Mary C Andersen, Catherine M Leeming, M. Catherine Leeming, Mary Catherine Leeming, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Shelton, Connecticut.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2018. Catherine has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Aliases

Catherine L Andersen | Catherine Andersen | Mary C Andersen | Catherine M Leeming | M. Catherine Leeming | Mary Catherine Leeming

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) - BD

Click below to view Catherine Leeming Andersen'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

July 8, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484
RIA
BD
CRD#: 8733
SHELTON, CT
Past

December 22, 2025 - January 21, 2026

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
SHELTON, CT
Past

December 17, 2025 - January 21, 2026

LPL ENTERPRISE, LLC

BD
CRD#: 8733
SHELTON, CT
Past

October 3, 2022 - February 27, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
GREENWICH, CT
Past

September 23, 2022 - February 27, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GREENWICH, CT
Past

June 14, 2022 - August 13, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
GREENWICH, CT
Past

June 14, 2022 - August 13, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
GREENWICH, CT
Past

March 3, 2022 - April 1, 2022

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Westport, CT
Past

March 3, 2022 - April 1, 2022

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Westport, CT
Past

August 12, 2021 - October 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WILTON, CT
Past

September 23, 2019 - April 23, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WILTON, CT
Past

June 13, 2019 - April 23, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WILTON, CT
Past

August 21, 2018 - October 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WILTON, CT

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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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
IAR
Series 65
Date: 9/23/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/2018
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742
SHEEHAN, RICHARD STEVENSVP, CHIEF COMPLIANCE OFFICER3096567

Regulatory assets under management

Total Number of Accounts114,002
AUM (Assets Under Management)$ 18,862,098,900

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report

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

LPL ENTERPRISE, LLC

CRD#: 8733Shelton, CT 06484

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