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Catherine Schwartz

Strategic Advisers LLC

Crestview Hills, KY

Covington, KY

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2025-03-31
TX RA APPROVED 2025-03-31
  • KY RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

Crestview Hills, KY • United States

100 Crosby Pkwy, Covington, KY 41015-4325 • 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
OrganizationCityStateFromTo
Fidelity Investments Covington KY 07/2013 Present
Fidelity Investments Boston MA 03/2025 Present
  • 07/2013 → Present
    Fidelity Investments
    Covington, KY
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2019-07-03 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Covington, KY
Other Businesses

OBA-5861|OrgNmn:Rodan and Fields|Org Addr:Crestview ,Kentucky,US|OBA Nature:Skin care|Invst Rel:N|Title:Consultant|Duties:Sell Rodan and Fields skin care products|StrtDt:09-01-15|TotHrs/mon:2|TrdHrs/mon:0|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-28
S63 Uniform Securities Agent State Law Examination 2013-10-21
  • S66 Uniform Combined State Law Examination
    2019-06-28
  • S63 Uniform Securities Agent State Law Examination
    2013-10-21
Other Names
  • Catherine Ann Bresser
  • Catherine Ann Schwartz
  • Katie Ann Fleming
  • Katie Ann Bresser
  • Katie Ann Schwartz
  • Catherine Ann Fleming
  • Catherine Schwartz

View on SEC IAPD

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