Catherine Alice Farago

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2007-04-20

MA RA
APPROVED

Since 2007-04-20

Branch Locations

Dorchester, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
C.A.S. Wealth Resources	Waltham	MA	08/2011	Present
Principal Life Insurance Company	Waltham	MA	03/2014	Present
Principal Securities Inc	Waltham	MA	03/2016	Present

08/2011 → Present

C.A.S. Wealth Resources

Waltham, MA
03/2014 → Present

Principal Life Insurance Company

Waltham, MA
03/2016 → Present

Principal Securities Inc

Waltham, MA

Other Businesses

OUTSIDE SALES POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 07/03/2019 ADDRESS: 16 Burgoyne Street, Dorchester MA 02124, United States DESCRIPTION: Sale and Service of Fixed, Life, Annuities, DI & LTC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-04-09
S63	Uniform Securities Agent State Law Examination	1997-03-10

S65 Uniform Investment Adviser Law Examination

2007-04-09
S63 Uniform Securities Agent State Law Examination

1997-03-10

Other Names

Cathy Alice Schaefer
Catherine A Schaefer
Catherine Barnard
Catherine Alice Bernard
Catherine Alice Schaefer
Catherine Alice Bernard

View on SEC IAPD