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Catherine Marie Ellis

Captrust

Georgetown, TX

CRD 5102327

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Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

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:

Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-11-09
  • TX RA
    APPROVED
    Since 2020-11-09

Branch Locations

Georgetown, TX • 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
American Century Investment Services Inc Kansas City MO 10/2010 08/2019
Capfinancial Securities Llc Raleigh NC 09/2019 Present
Capfinancial Partners Llc (Captrust) Raleigh NC 09/2019 Present
  • 10/2010 → 08/2019
    American Century Investment Services Inc
    Kansas City, MO
  • 09/2019 → Present
    Capfinancial Securities Llc
    Raleigh, NC
  • 09/2019 → Present
    Capfinancial Partners Llc (Captrust)
    Raleigh, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-11-09
S63 Uniform Securities Agent State Law Examination 2010-10-29
  • S65 Uniform Investment Adviser Law Examination
    2020-11-09
  • S63 Uniform Securities Agent State Law Examination
    2010-10-29
Other Names
  • Catherine Marie Mahoney
  • Catherine Marie Joens
  • Catherine M Joens
  • Catherine M Mahoney
  • Catherine Mahoney
  • Catherine Joens
  • Catherine Marie Mahoney
  • Catherine Marie Joens
  • Catherine Marie Mahoney

View on SEC IAPD

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