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Detailed Report
CATHLEEN PATRICE MCCLOY
CATHLEEN PATRICE GONZALEZ
CRD#: 1198681
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 4 Heron Ct
Cape Charles, VA 23310
LPL FINANCIAL LLCCRD#: 6413 CAPE CHARLES, VA
Registration History
198519901995200020052010201520202025IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2019 - Present (5 years)BLPL FINANCIAL LLC (CRD# 6413)2000 - Present (24 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 2000 (9 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1983 - 1991 (7 years)IALPL FINANCIAL LLC (CRD# 6413)2000 - 2020 (19 years)
License(s)

State Registrations

B
California 8/4/2004
B
Pennsylvania 6/22/2015
B
Delaware 8/5/2021
B
South Carolina 3/14/2023
B
Florida 4/25/2000
IA
Texas 10/2/2019
B
Illinois 8/10/2021
B
Virginia 4/25/2000
B
Indiana 7/9/2021
IA
Virginia 10/2/2019
B
Massachusetts 10/5/2020
B
Washington 6/18/2008
B
Missouri 5/24/2006
B
West Virginia 6/19/2019
B
New York 4/25/2000
B
Wisconsin 6/16/2000
B
Ohio 1/4/2023

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
4 Heron Ct, Cape Charles, VA 23310
Registered with this firm since 10/2/2019
B
LPL FINANCIAL LLC (CRD#:6413)
CAPE CHARLES, VA
Registered with this firm since 4/25/2000
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2000 - 03/26/2020 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
B
 01/03/1991 - 05/23/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 10/19/1983 - 01/14/1991 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.