CD
Catherine E. Deluca
PIMCO INVESTMENTS LLC
New York, NY 10019
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CRD#: 7495765
CD
Professional summary
Catherine Elizabeth Deluca, who also goes by Kat Deluca, Catherine Elizabeth Sappe, Catherine Sappe, Kat Sappe, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in New York, New York.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2022. Catherine has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kat Deluca | Catherine Elizabeth Sappe | Catherine Sappe | Kat Sappe
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.
CRS (Client Relationship Summary) - BD
Click below to view Catherine Elizabeth Deluca'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
May 24, 2022 - Present
PIMCO INVESTMENTS LLC
Office #1: 1633 Broadway 45th Floor, New York, NY 10019BD
CRD#: 154957
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/4/2025)
RR
California(9/22/2022)
RR
Connecticut(6/4/2025)
RR
Florida(6/4/2025)
RR
Georgia(6/4/2025)
RR
Illinois(6/4/2025)
RR
Kentucky(6/4/2025)
RR
Maryland(6/4/2025)
RR
Massachusetts(6/4/2025)
RR
Michigan(6/4/2025)
RR
New Mexico(6/4/2025)
RR
New York(1/3/2023)
RR
North Carolina(6/4/2025)
RR
Ohio(6/9/2025)
RR
Pennsylvania(6/4/2025)
RR
South Carolina(6/4/2025)
RR
Tennessee(6/4/2025)
RR
Texas(1/3/2023)
RR
Washington(6/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
