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Nancy Kay Caton

CATON FINANCIAL, INC.·SAN RAFAEL, California
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2350 KERNER BOULEVARD, SAN RAFAEL, CA 94901CRD# 1159536Firm CRD# 128101
01

About

Nancy Kay Caton is a registered financial advisor based in SAN RAFAEL, California, affiliated with CATON FINANCIAL, INC.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
03

Firm Overview

Firm
CATON FINANCIAL, INC.
CATON FINANCIAL, INC.
AUM
$139M
Regulatory assets under management
Employees
4
Total firm employees
View all advisors at CATON FINANCIAL, INC. →
Services
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
04

Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Other: THIRD PARTY ADVISORY FEES
Regulatory
SEC/IARD CRD# 1159536
Firm CRD# 128101
No disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does Nancy Kay Caton offer?
Nancy Kay Caton specializes in Financial Planning, Investment Management. Contact their office in SAN RAFAEL, California for a consultation.
What are Nancy Kay Caton's credentials?
Nancy Kay Caton is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Nancy Kay Caton located?
Nancy Kay Caton is based in SAN RAFAEL, California, working with CATON FINANCIAL, INC.. Their office serves clients in the SAN RAFAEL metropolitan area and surrounding communities.
How does Nancy Kay Caton charge for services?
Nancy Kay Caton's firm is compensated through percentage of aum, hourly charges, subscription fees, other: third party advisory fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CATON FINANCIAL, INC.?
CATON FINANCIAL, INC. has approximately 4 employees and manages $139M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Research
Advisor Fees in CaliforniaNational Fee Analysis
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