Catherine Preston
Professional summary
Catherine Preston, who also goes by Catherine Fazzini, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Clarksburg, West Virginia and EMPOWER FINANCIAL SERVICES, INC. located in Northwood, Ohio.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Catherine has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Preston's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 18, 2020 - Present
EMPOWER ADVISORY GROUP, LLC
May 9, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/18/2020)
(5/18/2020)
Exams
Series 6TO
Date: 5/9/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
Red Flags
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