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RIA / WealthAdvisor21 years in industry

CATHERINE ADELE KIPLING

Advisor at KIPLING & CO.

Sandia Park, NM

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KIPLING & CO.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 5, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 5, 2005
First registration: Apr 6, 2005
Dual registered: no
Other names: CATHERINE ADELE NUTE|CATHIE LAWDER|CATHERINE ADELE LAWDER
IAPD individual key: 4919976

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KIPLING & CO.	State registered	Nov 19, 2015	n/a	yes	Sandia Park, NM	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jun 4, 2013	Oct 16, 2015	no	VICTOR, MT\|STEVENSVILLE, MT\|FLORENCE, MT\|MISSOULA, MT\|LOLO, MT\|HAMILTON, MT\|DARBY, MT	Previous registration
D.A. DAVIDSON & CO.	Independent wealth	Jul 5, 2006	Apr 11, 2013	no	HAMILTON, MT	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 6, 2005	Feb 21, 2006	no	ST LOUIS, MO\|ST. LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVEST FINANCIAL CORPORATION	KIPLING & CO.	Oct 16, 2015	Nov 19, 2015	34	Firm change	Other
D.A. DAVIDSON & CO.	INVEST FINANCIAL CORPORATION	Apr 11, 2013	Jun 4, 2013	54	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	D.A. DAVIDSON & CO.	Feb 21, 2006	Jul 5, 2006	134	Firm change	Other

Relationships

Registered with (4)

→ KIPLING & CO.Registered adviserregistration: current employment
Nov 19, 2015 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jun 4, 2013 to Oct 16, 2015factForm ADV
→ D.A. DAVIDSON & CO.Registered adviserregistration: previous registration
Jul 5, 2006 to Apr 11, 2013factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 6, 2005 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.