DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Catherine Echon Haffner

Raymond James Financial Services Advisors, IncBD affiliatedSan Antonio, Txdual registrantIAPD 4936292

Feed of 09/14/2026

Also filed as Catherine Edquilang Echon

At current firm

1 y

since Dec 2, 2024

In the industry

14 y

since Jun 15, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Raymond James Financial Services Advisors, Inc BD affiliated current
since Dec 2, 2024 · San Antonio, Tx
Bok Financial Private Wealth, Inc. independent RIA
Sep 25, 2023 to Dec 3, 2024 · San Antonio, Tx
Bok Financial Advisors BD affiliated
Sep 25, 2023 to Dec 4, 2024 · San Antonio, Tx
Texas Capital Bank Private Wealth Advisors independent RIA
Jan 4, 2022 to Jul 28, 2023 · Dallas, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 8, 2018 to Jun 16, 2021 · New York, Ny
J.P. Morgan Securities LLC wirehouse
Dec 22, 2015 to Apr 3, 2018 · San Antonio, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 18, 2012 to Nov 24, 2015 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

Bok Financial Advisors to Raymond James Financial Services Advisors, Inc
left Dec 4, 2024, registered Dec 2, 2024 (-2 days) · Affiliated broker-dealer or bank to another
Bok Financial Private Wealth, Inc. to Bok Financial Advisors
left Dec 3, 2024, registered Sep 25, 2023 (-435 days) · RIA to affiliated broker-dealer or bank
Texas Capital Bank Private Wealth Advisors to Bok Financial Private Wealth, Inc.
left Jul 28, 2023, registered Sep 25, 2023 (59 days) · RIA to RIA
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Texas Capital Bank Private Wealth Advisors
left Jun 16, 2021, registered Jan 4, 2022 (202 days) · Wirehouse to independent RIA
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Apr 3, 2018, registered May 8, 2018 (35 days) · Wirehouse to wirehouse · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Securities LLC
left Nov 24, 2015, registered Dec 22, 2015 (28 days) · Wirehouse to wirehouse

Signals

Catherine Echon Haffner left Bok Financial Advisors for Raymond James Financial Services Advisors, Inc (registered 2024-12-02)
Dec 4, 2024 · Advisor changed firm · fact
Catherine Echon Haffner left Bok Financial Private Wealth, Inc. for Bok Financial Advisors (registered 2023-09-25)
Dec 3, 2024 · Advisor changed firm · fact
Catherine Echon Haffner left Texas Capital Bank Private Wealth Advisors for Bok Financial Private Wealth, Inc. (registered 2023-09-25)
Jul 28, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address