RIA Intelligence

CATON FINANCIAL, INC.

CRD #128101 SEC #801-62440 SAN RAFAEL, CA 415-461-6248
SEC Registered
Total AUM
$139.2M
Discretionary
$0
Employees
4
Clients
0
Accounts
343

Firm Details

Organization Type
Corporation
State of Formation
California
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 6, 2013
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
JOHNSON, JODI, LYNNISECRETARY/VICE PRESIDENT OPERATIONSNA Control
JOHNSON, JODI, LYNNISECRETARY/VICE PRESIDENT OPERATIONSNA Control
JOHNSON, JODI, LYNNISECRETARYNA Control
JOHNSON, JODI, LYNNISECRETARY/VICE PRESIDENT OPERATIONSNA Control
JOHNSON, JODI, LYNNISECRETARY/VICE PRESIDENT OPERATIONSNA Control
JOHNSON, JODI, LYNNISECRETARY/VICE PRESIDENT OPERATIONSNA Control
JOHNSON, JODI, LYNNISECRETARY/VICE PRESIDENT OPERATIONSNA Control
CATON, NANCY, KAYIOWNER/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYISOLE PROPRIETOR/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIOWNER/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIOWNERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIOWNERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CATON, NANCY, KAYIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control

Registrations

Federal

IA
Mar 6, 2013 REGISTERED

Notice Filings (3)

CA LA TX

Address

2350 KERNER BOULEVARD
SUITE 370
SAN RAFAEL, CA 94901
United States
Phone: 415-461-6248