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 Shaner Carlock
Feed of 09/14/2026
Also filed as Catherine Elizabeth Shaner
At current firm
8 y
since Jan 31, 2018
In the industry
19 y
since Apr 18, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 31, 2018 · Lexington, Va
- The Main Street Group independent RIAOct 15, 2015 to Jan 19, 2018 · Lexington, Va
- LPL Financial LLC BD affiliatedJan 30, 2009 to Nov 17, 2015 · Glen Allen, Va
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 19, 2007 to Dec 22, 2008 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- The Main Street Group to LPL Financial LLCleft Jan 19, 2018, registered Jan 31, 2018 (12 days) · RIA to RIA
- LPL Financial LLC to The Main Street Groupleft Nov 17, 2015, registered Oct 15, 2015 (-33 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to LPL Financial LLCleft Dec 22, 2008, registered Jan 30, 2009 (39 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address