CG
Catherine E. Gueli
NOVEM GROUP
Rochester, NY 14625
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CRD#: 7058910
CG
Professional summary
Catherine Elizabeth Gueli is a registered financial advisor currently at NOVEM GROUP located in Rochester, New York.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Catherine has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
AIR BNB; ADDRESS: 888 BRANNAN STREET SAN FRANCISCO, CA 94103; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL OF PROPERTY; CAPACITY: OTHER - I USE THE AIR BNB PLATFORM TO RENT MY LAKE PROPERTY FOR APPROX 25 NIGHTS IN THE SEASON STARTING IN APRIL ENDING IN OCTOBER; START DATE: 04/01/2019; DUTIES: ENSURE MY POSTS ARE ACCURATE AND I FOLLOW THE AIR BNB POLICIES WHEN RENTING MY PROPERTY; HOURS DEVOTED PER MONTH: 00; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Elizabeth Gueli's 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®
NoneExperience
Current
September 26, 2024 - Present
NOVEM GROUP
Office #1: 350 Linden Oaks Suite 140, Rochester, NY 14625RIA
CRD#: 158964
Rochester, NY
Past
March 21, 2019 - October 10, 2024
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ROCHESTER, NY
Past
February 26, 2019 - October 10, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ROCHESTER, 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".
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)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
Colorado(9/26/2024)
IAR
Connecticut(9/26/2024)
IAR
Illinois(10/29/2024)
IAR
Maryland(10/22/2025)
IAR
New York(9/26/2024)
IAR
Ohio(10/29/2024)
IAR
Oregon(10/1/2024)
IAR
Pennsylvania(9/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
350 Linden Oaks Suite 140, Rochester, NY 14625
Mailing Address
Phone number
(585) 348-9525
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NOVEM GROUP
CRD#: 158964Rochester, NY 14625TRUST BUT VERIFY
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