Catherine Cucharale has been Chief Compliance Officer of McLaughlin Ryder Investments since April 2021, is not listed as a control person, but directly owns under 5% of the firm.
McLaughlin Ryder Investments, Inc. is an Alexandria, VA firm with $522M under management, 503 clients and 2 advisers in one office, as of its March 2026 filing.
No adviser firm registrations are on Catherine Cucharale’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 16 November 2010 |
| Series 7 | General Securities Representative Examination | 11 July 2007 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- CRD
- 3054881
- Firm
- McLaughlin Ryder Investments · CRD 147529
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Catherine Cucharale work?
Catherine Cucharale has been Chief Compliance Officer of McLaughlin Ryder Investments, Inc. since April 2021.
Does Catherine Cucharale have a current investment-adviser registration?
Catherine Cucharale has a current broker registration and no current investment-adviser registration.
What exams has Catherine Cucharale passed?
Catherine Cucharale has passed 4 licensing exams: the Series 7, Series 24, Series 14 and Series 99TO. The earliest, the Series 7, was passed in July 2007. FINRA credited Catherine Cucharale with the SIE, which began in October 2018.
Is Catherine Cucharale registered with FINRA?
Yes. Catherine Cucharale has a current broker registration, under CRD 3054881.
Source: FINRA BrokerCheck
How can I verify Catherine Cucharale’s record?
Search CRD 3054881 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Catherine Cucharale’s full registration record.