Catherine E. Lannan

LAKEWOOD ASSET MANAGEMENT

Chicago, IL 60604

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CRD#: 7459604

Professional summary

Catherine Elizabeth Lannan, who also goes by Catherine Lannan, is a registered financial advisor currently at LAKEWOOD ASSET MANAGEMENT, LLC located in Chicago, Illinois.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Catherine has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Lannan

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) - RIA

Click below to view Catherine Elizabeth Lannan'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 14, 2023 - Present

LAKEWOOD ASSET MANAGEMENT, LLC

Office #1: 332 S Michigan Ave Suite 9069, Chicago, IL 60604

RIA

CRD#: 174887

Chicago, IL

Past

May 20, 2022 - May 19, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

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".

LAKEWOOD ASSET MANAGEMENT, LLC

LAKEWOOD ASSET MANAGEMENT | LAKEWOOD ASSET MANAGEMENT, LLC

CRD#: 174887 / SEC#: 801-113632

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/19/2018 Terminated)

Nebraska

Registered Investment Advisory firm - (12/12/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(7/14/2023)

IAR

Louisiana
(7/14/2023)

IAR

Nebraska
(7/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/20/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/18/2022

Securities Industry Essentials Examination

Current Firm

LAKEWOOD ASSET MANAGEMENT, LLC

LAKEWOOD ASSET MANAGEMENT | LAKEWOOD ASSET MANAGEMENT, LLC

CRD#: 174887 / SEC#: 801-113632

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/19/2018 Terminated)

Nebraska

Registered Investment Advisory firm - (12/12/2018 Terminated)

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Contact information

Main Address

225 W Jefferson Avenue, Suite 102, Naperville, IL 60540

Mailing Address

Phone number

(312) 543-1772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	340
AUM (Assets Under Management)	$ 220,212,292

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.

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Catherine E. Lannan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Elizabeth Lannan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAKEWOOD ASSET MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

LAKEWOOD ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2023

Series 63

Date: 6/1/2022

Series 7TO

Date: 5/20/2022

SIE

Date: 3/18/2022

Current Firm

LAKEWOOD ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAKEWOOD ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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