Cathleen Ann Pike

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → 11/2016
  Wells Fargo Advisors Llc
  Tucson, AZ
• 09/2002 → 01/2026
  Wells Fargo Bank, Na
  Tucson, AZ
• 11/2016 → 01/2026
  Wells Fargo Clearing Services, Llc
  Tucson, AZ
• 01/2026 → Present
  Rbc Capital Markets, Llc
  Tucson, AZ

Previous Registrations

• 2016-03-03 → 2026-01-09
  Wells Fargo Clearing Services, Llc
  Tucson, AZ
  Tucson, AZ
  Tucson, AZ
  El Paso, TX
  Tucson, AZ
  Tucson, AZ
  Tarpon Springs, FL
  Tucson, AZ

Other Businesses

1) CATHLEEN PIKE DBA CATHLEEN PIKE RENTALS. INVESTMENT RELATED- RENTAL PROPERTY- 7972 N ATOLIA DRIVE, TUCSON, AZ 85743. 100% OWNERSHIP WITH SPOUSE, START DATE 1/1/2014, 10 MINUTES PER MONTH, ZERO DURING TRADING, LANDLORD. LONG TERM RENTAL WITH AN ANNUAL LEASE. DUTIES INCLUDE COMMUNICATING WITH TENANTS, ENSURING HOME IS MAINTAINED AND REPAIRS COMPLETED AS NECESSARY, ENSURE POOL SERVICE IS MAINTAINED. COLLECT RENT. 2) CATHLEEN PIKE DBA CATHLEEN PIKE RENTALS. INVESTMENT RELATED- RENTAL PROPERTY- 1103 W HURON STREET, TUCSON, AZ 85745. 100% OWNERSHIP WITH SPOUSE, START 10/1/2017, 10 MINUTES PER MONTH, ZERO DURING TRADING, LANDLORD. LONG TERM RENTAL WITH AN ANNUAL LEASE. DUTIES INCLUDE COMMUNICATING WITH TENANTS, ENSURING HOME IS MAINTAINED AND REPAIRS COMPLETED AS NECESSARY.COLLECT RENT. 3) CATHLEEN PIKE DBA CATHLEEN PIKE RENTALS. INVESTMENT RELATED- RENTAL PROPERTY- 1550 W ROGER ROAD, TUCSON, AZ 85715. 100% OWNERSHIP WITH SPOUSE, START 8/15/2018, 20 MINUTES PER MONTH, ZERO DURING TRADING, LANDLORD. LONG TERM RENTAL WITH AN ANNUAL LEASE. DUTIES INCLUDE COMMUNICATING WITH TENANTS, ENSURING HOME IS MAINTAINED AND REPAIRS COMPLETED AS NECESSARY, COLLECT RENT. 4) CATHLEEN PIKE DBA CATHLEEN PIKE RENTALS. INVESTMENT RELATED- RENTAL PROPERTY- 4291 N PASEO DEL CAMPO, TUCSON, AZ 85745. 100% OWNERSHIP WITH SPOUSE, START DATE 7/13/2022, 10 HRS PER MONTH, 0 HRS DURING TRADING. SHORT TERM VACATION RENTAL THROUGH AIRBNB AND VRBO. DUTIES INCLUDE MANAGING BOOKING CALENDAR, COMMUNICATING WITH GUESTS, COORDINATE CLEANING, MANAGING HOME UPKEEP, REPAIRS, & MAINTENANCE, MANAGE THE LISTING ON AIRBNB & VRBO AND MAKE UPDATES AS NEEDED. (5) NAME OF ENTITY: Cathleen A. Pike Rentals, sole proprietorship ADDRESS: 7025 N Siena Drive, Tucson, AZ 85704 INVESTMENT/NOT INVESTMENT RELATED: Yes BUSINESS DESCRIPTION: Other START DATE: Jan 01, 2014 CAPACITY: Owner DUTIES: 3 long-term, annually leased, single-family rental homes located in Tucson, AZ. Responsibilities include upkeep on the homes and ensuring maintenance and repairs are completed, communicating with tenants, collecting rent, and communicating with HOA as necessary. Time spent on these activities for all 3 homes is under 1 hour per month. 1 short-term rental listed on Airbnb and VRBO. Responsibilities include managing listings, communicating with guests, ensuring competitive pricing, maintaining the property, and addressing guest concerns. Time spent on these activities monthly is approximately 12 hours. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2016-03-03
• S63 Uniform Securities Agent State Law Examination
  2000-04-14

Other Names

• Cathleen Ann Fischer
• Cathleen Ann Blandino
• Cathleen Ann Arnold
• Cathleen Ann Good