DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

CATHERINE HARSTICK

Advisor at VALIC FINANCIAL ADVISORS, INC.

CARMEL, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a70c53db-e2d4-f2f0-2b2b-1b8abcb051a0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Sep 25, 2008 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: VALIC FINANCIAL ADVISORS, INC.
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: Dec 18, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 6
Designations: Certified Financial Planner
Exams: S65|S63|S66
First exam: Dec 18, 1997
First registration: Sep 25, 2008
Dual registered: yes, broker-dealer
Other names: CATHERINE HUMPHREY|CATHERINE LYNNE HARSTICK|CATHERINE HARSTICK
IAPD individual key: 2963873

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
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 12, 2024	n/a	yes	CARMEL, IN	Current employment
COMPASS WEALTH	Independent wealth	Apr 23, 2024	Dec 11, 2024	no	ST. LOUIS, MO	Previous registration
MISSIONSQUARE RETIREMENT	Bd affiliated wealth	Jun 15, 2023	Apr 19, 2024	no	WASHINGTON, DC\|CHESTERFIELD, MO	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 7, 2023	Jun 13, 2023	no	New York, NY\|O'Fallon, MO	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 24, 2014	Oct 14, 2022	no	JONESBORO, AR\|ST. LOUIS, MO\|LITTLE ROCK, AR\|LITTLE ROCK, AR\|LITTLE ROCK, AR	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jul 19, 2013	Sep 23, 2014	no	AMES, IA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jul 20, 2009	Jul 18, 2013	no	OVERLAND PARK, KS	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Sep 25, 2008	Jul 14, 2009	no	Des Moines, IA\|DES MOINES, IA\|Urbandale, IA\|Urbandale, IA\|Des Moines, IA	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
COMPASS WEALTH	VALIC FINANCIAL ADVISORS, INC.	Dec 11, 2024	Dec 12, 2024	1	Firm change	RIA to ibd
MISSIONSQUARE RETIREMENT	COMPASS WEALTH	Apr 19, 2024	Apr 23, 2024	4	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MISSIONSQUARE RETIREMENT	Jun 13, 2023	Jun 15, 2023	2	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	CITIGROUP GLOBAL MARKETS INC.	Oct 14, 2022	Feb 7, 2023	116	Firm change	Ibd to ibd
ADVICE AND PLANNING SERVICES	VALIC FINANCIAL ADVISORS, INC.	Sep 23, 2014	Sep 24, 2014	1	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	ADVICE AND PLANNING SERVICES	Jul 18, 2013	Jul 19, 2013	1	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	VALIC FINANCIAL ADVISORS, INC.	Jul 14, 2009	Jul 20, 2009	6	Firm change	Other

Relationships

Registered with (6)

→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 24, 2014 to Oct 14, 2022factForm ADV
→ COMPASS WEALTHRegistered adviserregistration: previous registration
Apr 23, 2024 to Dec 11, 2024factForm ADV
→ MISSIONSQUARE RETIREMENTRegistered adviserregistration: previous registration
Jun 15, 2023 to Apr 19, 2024factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 7, 2023 to Jun 13, 2023factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jul 19, 2013 to Sep 23, 2014factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 25, 2008 to Jul 14, 2009factForm ADV

Dated events

Occurred
Dec 11, 2024
Advisor changed firm
Catherine Harstick left Compass Wealth for Valic Financial Advisors, Inc. (registered 2024-12-12)
Form ADVobserved 4 days ago
Occurred
Apr 19, 2024
Advisor changed firm
Catherine Harstick left Missionsquare Retirement for Compass Wealth (registered 2024-04-23)
Form ADVobserved 4 days ago
Occurred
Jun 13, 2023
Advisor changed firm
Catherine Harstick left Citigroup Global Markets Inc. for Missionsquare Retirement (registered 2023-06-15)
Form ADVobserved 4 days ago
Occurred
Oct 14, 2022
Advisor changed firm
Catherine Harstick left Valic Financial Advisors, Inc. for Citigroup Global Markets Inc. (registered 2023-02-07)
Form ADVobserved 4 days ago