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CATHERINE MARY ANDERSON
CATHERINE MARY BEHNEY
CRD#: 1177986
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 4340 VON KARMAN AVE
SUITE 101
NEWPORT BEACH, CA 92660
Registration History
199019952000200520102015202020252 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - 2011 (5 years)2 FIRMS2011 - 2020 (8 years)2 FIRMS2020 - Present (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1991 - 2003 (12 years)BSUTRO & CO. INCORPORATED (CRD# 801)1987 - 1991 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2003 (6 years)
License(s)

State Registrations

B
California 1/10/2020

B
Illinois 2/11/2020

IA
California 1/10/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
4340 VON KARMAN AVE SUITE 101, NEWPORT BEACH, CA 92660
Registered with this firm since 1/10/2020

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
4340 VON KARMAN AVE SUITE 101, NEWPORT BEACH, CA 92660
Registered with this firm since 1/10/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/27/2011 - 01/21/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEWPORT BEACH, CA
B
10/27/2011 - 01/21/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEWPORT BEACH, CA
IA
05/19/2006 - 10/27/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL SEGUNDO, CA
B
05/19/2006 - 10/27/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL SEGUNDO, CA
IA
10/14/2003 - 05/26/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
B
10/14/2003 - 05/26/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
IA
07/08/1997 - 10/30/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) ORANGE, CA
B
04/20/1991 - 10/30/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
11/25/1987 - 01/31/1991 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.