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Caitlyn M. Tierney
WESTOVER CAPITAL ADVISORS
Wilmington, DE 19805
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CRD#: 7227047
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Professional summary
Caitlyn Marie Tierney, who also goes by Caitlyn M Ham, Caitlyn Marie Ham, Caitlyn Ham, Caitlyn Tierney, is a registered financial advisor currently at WESTOVER CAPITAL ADVISORS, LLC located in Wilmington, Delaware.
Caitlyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Caitlyn has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caitlyn M Ham | Caitlyn Marie Ham | Caitlyn Ham | Caitlyn Tierney
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.
FENSTERMACHER & COMPANY, PC POSITION: Wealth Management Assistant NATURE: Employment with a tax/investment advisory firm.Below are activities that the business participates in: Tax preparation Tax planning Business consulting Investment management Retirement planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/03/2020 ADDRESS: 115 South Broad St., Kennett Square PA 19348, United States DESCRIPTION: Below are activities I perform for the business: Tax preparation Tax planning Assist with investment management e.g. new account paperwork, money movement Assist with financial plan preparation Assist with compliance related duties
CRS (Client Relationship Summary) - RIA
Click below to view Caitlyn Marie Tierney'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 3, 2025 - Present
WESTOVER CAPITAL ADVISORS, LLC
Office #1: 1013 Centre Rd, Suite 405, Wilmington, DE 19805RIA
CRD#: 126520
Wilmington, DE
Past
February 13, 2023 - August 29, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Kennett Square, PA
Past
December 14, 2022 - August 29, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Kennett Square, PA
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".
WC
WESTOVER CAPITAL ADVISORS, LLC
WESTOVER CAPITAL ADVISORS, LLC
CRD#: 126520 / SEC#: 801-64380
RIA
Registered Investment Advisory firm - (6/3/2005 Approved)Delaware
Registered Investment Advisory firm - (6/30/2005 Terminated)North Carolina
Registered Investment Advisory firm - (4/11/2013 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
Delaware(9/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/13/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
WC
WESTOVER CAPITAL ADVISORS, LLC
WESTOVER CAPITAL ADVISORS, LLC
CRD#: 126520 / SEC#: 801-64380
RIA
Registered Investment Advisory firm - (6/3/2005 Approved)Delaware
Registered Investment Advisory firm - (6/30/2005 Terminated)North Carolina
Registered Investment Advisory firm - (4/11/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1013 Centre Rd, Suite 405, Wilmington, DE 19805
Mailing Address
Phone number
(302) 427-9600
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 671 |
| AUM (Assets Under Management) | $ 568,636,870 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 02/27/2024 | ||
| 03/27/2023 |
Red Flags
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Company Information
WESTOVER CAPITAL ADVISORS, LLC
CRD#: 126520Wilmington, DE 19805TRUST BUT VERIFY
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