Catherine A. Mccarty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Anne Mccarty, AIF®, who also goes by Kit Mccarty, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1976. Catherine had worked at 9 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2022 - June 30, 2023
CLARITI WEALTH ADVISORS
May 29, 2009 - February 9, 2022
MARQUETTE ASSOCIATES, INC.
February 3, 1994 - March 3, 2009
SECURIAN FINANCIAL SERVICES, INC.
March 4, 1992 - June 25, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 4, 1992 - June 25, 1992
EQUITABLE ADVISORS, LLC
February 19, 1986 - February 20, 1992
1717 CAPITAL MANAGEMENT COMPANY
December 21, 1982 - April 1, 1986
ILG SECURITIES CORPORATION
February 18, 1982 - March 11, 1982
PRUCO SECURITIES, LLC.
September 1, 1976 - March 11, 1982
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
CLARITI WEALTH ADVISORS
CRD#: 104804 / SEC#: 801-18338
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/23/1976
Registered Representative ExaminationCurrent Firm
CLARITI WEALTH ADVISORS
CRD#: 104804 / SEC#: 801-18338
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,265 |
| AUM (Assets Under Management) | $ 622,223,185 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2025 | ||
| 02/23/2024 | ||
| 04/06/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
