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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

CATHERINE ALINE ROWAN

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

AUSTIN, TX

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Search this name across graphsid dfx:ria:40bf8bdd-bbdc-d08f-1ef2-dca957f1817a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2004 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: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 22, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 22, 2003
First registration: Jan 2, 2004
Dual registered: yes, broker-dealer
Other names: CATHY ROWAN
IAPD individual key: 4716500

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
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Nov 20, 2019	n/a	yes	AUSTIN, TX	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jun 22, 2010	Nov 21, 2019	no	SAN ANTONIO, TX\|AUSTIN, TX\|AUSTIN, TX	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Feb 9, 2010	Apr 13, 2010	no	SAN ANTONIO, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jan 21, 2010	no	AUSTIN, TX	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jan 2, 2004	Jan 1, 2008	no	AUSTIN, TX\|AUSTIN, TX\|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
WELLS FARGO ADVISORS	RAYMOND JAMES & ASSOCIATES, INC.	Nov 21, 2019	Nov 20, 2019	-1	Firm change	Wirehouse to ibd
USAA INVESTMENT SERVICES COMPANY	WELLS FARGO ADVISORS	Apr 13, 2010	Jun 22, 2010	70	Firm change	Other
WELLS FARGO ADVISORS	USAA INVESTMENT SERVICES COMPANY	Jan 21, 2010	Feb 9, 2010	19	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Nov 20, 2019 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 22, 2010 to Nov 21, 2019factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Feb 9, 2010 to Apr 13, 2010factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jan 2, 2004 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.