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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

CATHERINE MARY ARNET-VALEGA

Advisor at LPL FINANCIAL LLC

WINCHESTER, MA

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Search this name across graphsid dfx:ria:9e67008d-10f2-3f41-a051-24fe63c016fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2003 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 23, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 23, 1992
First registration: Mar 27, 2003
Dual registered: yes, broker-dealer
Other names: CATHERINE MARY VALEGA
IAPD individual key: 2242326

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
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 30, 2019	n/a	yes	WINCHESTER, MA	Current employment
BAY FINANCIAL ADVISORS, INC.	n/a	Mar 19, 2020	Dec 31, 2020	no	WALTHAM, MA	Previous registration
LION STREET ADVISORS, LLC	Former SEC adviser	Dec 14, 2018	Oct 30, 2019	no	Newton, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 15, 2017	Dec 4, 2018	no	ARLINGTON, MA\|ARLINGTON, MA\|SAN DIEGO, CA\|ARLINGTON, MA\|WOBURN, MA\|BURLINGTON, MA\|WOBURN, MA\|WALTHAM, MA\|WALTHAM, MA	Previous registration
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Feb 29, 2016	Mar 28, 2017	no	BOSTON, MA	Previous registration
WINSLOW, EVANS & CROCKER, INC.	Former SEC adviser	Mar 16, 2015	Feb 5, 2016	no	BOSTON, MA\|BOSTON, MA	Previous registration
BAY FINANCIAL ADVISORS, INC.	n/a	Mar 10, 2014	Apr 29, 2015	no	WALTHAM, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 13, 2007	Mar 30, 2015	no	WINCHESTER, MA\|LEXINGTON, MA\|WINCHESTER, MA\|WINCHESTER, MA	Previous registration
AMUNDI ASSET MANAGEMENT US, INC.	Former SEC adviser	Mar 27, 2003	Oct 27, 2005	no	BOSTON, MA	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
BAY FINANCIAL ADVISORS, INC.	n/a	Dec 31, 2020	n/a	n/a	Departure no registered destination	Departure
LION STREET ADVISORS, LLC	LPL FINANCIAL LLC	Oct 30, 2019	Oct 30, 2019	0	Firm change	Ibd to ibd
LPL FINANCIAL LLC	LION STREET ADVISORS, LLC	Dec 4, 2018	Dec 14, 2018	10	Firm change	RIA to ibd
TD PRIVATE CLIENT WEALTH LLC	LPL FINANCIAL LLC	Mar 28, 2017	May 15, 2017	48	Firm change	Other
WINSLOW, EVANS & CROCKER, INC.	TD PRIVATE CLIENT WEALTH LLC	Feb 5, 2016	Feb 29, 2016	24	Firm change	Other
BAY FINANCIAL ADVISORS, INC.	WINSLOW, EVANS & CROCKER, INC.	Apr 29, 2015	Mar 16, 2015	-44	Firm change after gap	Other
LPL FINANCIAL LLC	BAY FINANCIAL ADVISORS, INC.	Mar 30, 2015	Mar 10, 2014	-385	Firm change after gap	Other
AMUNDI ASSET MANAGEMENT US, INC.	LPL FINANCIAL LLC	Oct 27, 2005	Jun 13, 2007	594	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 15, 2017 to Dec 4, 2018factForm ADV
→ BAY FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 19, 2020 to Dec 31, 2020factForm ADV
→ LION STREET ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 14, 2018 to Oct 30, 2019factForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Feb 29, 2016 to Mar 28, 2017factForm ADV
→ WINSLOW, EVANS & CROCKER, INC.Registered adviserregistration: previous registration
Mar 16, 2015 to Feb 5, 2016factForm ADV
→ AMUNDI ASSET MANAGEMENT US, INC.Registered adviserregistration: previous registration
Mar 27, 2003 to Oct 27, 2005factForm ADV

Dated events

No dated event names this entity yet.