Catherine Echon Haffner

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 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:

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

Current Employers

Employment History

• 11/2015 → 04/2018
  Jp Morgan Securities Llc
  San Antonio, TX
• 04/2018 → 06/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
• 11/2021 → 07/2023
  Kingswood Capital Partners, Llc
  San Diego, CA
• 10/2021 → 07/2023
  Texas Capital Bank Private Wealth Advisors
  Dallas, TX
• 06/2021 → 10/2021
  Haffner Group
  San Antonion, TX
• 10/2021 → 09/2023
  Texas Capital Bank
  Dallas, TX
• 09/2023 → 12/2024
  Bok Financial Securities, Inc.
  San Antonio, TX
• 09/2023 → 12/2024
  Bokf, Na
  San Antonio, TX
• 09/2023 → 12/2024
  Bok Financial Private Wealth, Inc.
  San Antonio, TX
• 12/2024 → Present
  Raymond James Financial Services, Inc.
  San Antonio, TX
• 12/2024 → Present
  Raymond James Financial Services Advisors, Inc.
  San Antonio, TX
• 12/2024 → Present
  Haffner Private Wealth
  San Antonio, TX
• 12/2024 → Present
  Oak Crest Advisors
  San Antonio, TX
• 05/2021 → Present
  Haffner Group Llc
  San Antonio, TX

Previous Registrations

• 2023-09-25 → 2024-12-04
  Bok Financial Securities, Inc.
  San Antonio, TX
• 2023-09-25 → 2024-12-03
  Bok Financial Private Wealth, Inc.
  San Antonio, TX
• 2022-01-04 → 2023-07-28
  Texas Capital Bank Private Wealth Advisors
  San Antonio, TX
  Dallas, TX
• 2018-05-08 → 2021-06-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  Dallas, TX
  New York, NY
  Flower Mound, TX
  Dallas, TX
  Saint Augustine, FL
  New York, NY
• 2015-12-22 → 2018-04-03
  J.P. Morgan Securities Llc
  San Antonio, TX
  San Antonio, TX
  San Antonio, TX
• 2012-06-18 → 2015-11-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Antonio, TX

Other Businesses

(1)Name of Business: Address: 25306 Donahue Dr, San Antonio, TX, 78255, United States Activity Type: Other Position/Title: Artist Investment Related: No Start Date: 07/01/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Sell my acrylic or oil paintings (2)Name of Business: Echon Sisters Address: 25306 Donahue, San Antonio, TX, 78255, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 03/04/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (3)Name of Business: Haffner Group LLC Address: 25306 Donahue Dr, San Antonio, TX, 78255, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/18/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Owner / manager of business entity. (4)Name of Business: Haffner Private Wealth Address: 17806 W Interstate 10 Ste 300, San Antonio, TX, 78257-8222, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 12/02/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I joined RJFS in the Independent Channel Division, as a financial advisor. Haffner Private Wealth is the name held out to the public for my advisory services. (5)Name of Business: Oak Crest Advisors Address: 17806 W Interstate 10 Ste 300, San Antonio, TX, 78257-8222, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 12/02/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Oak Crest advisors provide branch supervision for my role as advisor with Haffner Private Wealth (6)Name of Business: Oak Crest Insurance Agency Address: 17806 W Interstate 10 Ste 300, San Antonio, TX, 78257-8222, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 02/14/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Agent

Exams

• S66 Uniform Combined State Law Examination
  2012-06-15

Other Names

• Catherine Edquilang Echon
• Catherine E Haffner
• Catherine Echon Haffner
• Cathy Haffner