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Catherine Mitchell Stephenson

HEARTLAND ADVISORS, INC.·MILWAUKEE, Wisconsin
SIE, Series 6, Series 63Clean recordHEARTLAND ADVISORS, INC.
789 N WATER STREET SUITE 500, MILWAUKEE, WI 53202CRD# 4704310Firm CRD# 29433

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Catherine Mitchell Stephenson · MILWAUKEE, WI
Registration
CRD #4704310 · HEARTLAND ADVISORS, INC.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
HEARTLAND ADVISORS, INC.
CRD 29433 · SEC 801-19074
AUM
$2.0B
Regulatory assets under management
Employees
25
98 client accounts
Services offered by HEARTLAND ADVISORS, INC.
Per Form ADV
Portfolio management (individuals)
Portfolio management (pooled investments)
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
View all advisors at HEARTLAND ADVISORS, INC. →
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Frequently Asked Questions

What services does Catherine Mitchell Stephenson offer?
Catherine Mitchell Stephenson specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in MILWAUKEE, Wisconsin for a consultation.
What are Catherine Mitchell Stephenson's credentials?
Catherine Mitchell Stephenson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Catherine Mitchell Stephenson located?
Catherine Mitchell Stephenson is based in MILWAUKEE, Wisconsin, working with HEARTLAND ADVISORS, INC.. Their office serves clients in the MILWAUKEE metropolitan area and surrounding communities.
How does Catherine Mitchell Stephenson charge for services?
Catherine Mitchell Stephenson's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is HEARTLAND ADVISORS, INC.?
HEARTLAND ADVISORS, INC. has approximately 25 employees and manages $2.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at HEARTLAND ADVISORS, INC.

Matthew Jason Miner
MILWAUKEE, WI
CFA
Nicole Jeannine Best
MILWAUKEE, WI
Vinita Kaur Paul
MILWAUKEE, WI
Bradford Allen Evans
MILWAUKEE, WI
CFA
David Ribbens
MILWAUKEE, WI
Troy William Mcglone
MILWAUKEE, WI
CFA

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