Catherine Curtis has been Owner and Chief Compliance Officer of Curtis Financial Planning since January 2001, is a control person of the firm and directly owns 75% or more of it.
Curtis Financial Planning, LLC is a firm with $164M under management, 76 clients and 1 adviser in one office, as of its March 2026 filing.
Cathy Curtis is Founder of Curtis Financial Planning, based in Oakland, CA. She founded the practice as a financial planner. She has been an Assistant Adjunct Professor at Mills College in Oakland, California, in 2019 and 2021, teaching personal finance, and spent more than 16 years developing programs for the Commonwealth Club of California.
Catherine Curtis’ longest registration is the current one, 12 years at Curtis Financial Planning since 2014. Before joining Curtis Financial Planning in 2014, Catherine Curtis was registered through Clearrock Capital LLC.
- Curtis Financial PlanningCurrent– present · 12 yearsOakland, CA · Adviser representative · Firm CRD 136785
- Clearrock Capital LLC– · under a yearKetchum, ID · Adviser representative · Firm CRD 144480
Professional designations
Listed by Curtis Financial Planning
- Certified Financial Planner (CFP®)
Investment adviser representative registrations
Catherine Curtis is registered as an investment adviser representative in California, since January 2014.
- CaliforniaSince 23 January 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 21 November 1987 |
- Name
- General Securities Representative Examination
- CRD
- 1644947
- Firm
- Curtis Financial Planning · CRD 136785
- Role
- Owner and Chief Compliance Officer
- Office
- Oakland, CA
- Registration
- Investment adviser registration
- In the industry since
- February 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- curtisfinancialplanning.com
Where does Catherine Curtis work?
Catherine Curtis has been Owner and Chief Compliance Officer of Curtis Financial Planning, LLC since January 2001, and is a control person of the firm.
Is Catherine Curtis a financial advisor?
Yes. Catherine Curtis has a current investment-adviser registration in California, through Curtis Financial Planning since January 2014.
How many years of experience does Catherine Curtis have?
Catherine Curtis has 13 years in the financial industry, since February 2013, across 2 adviser firms.
What exams has Catherine Curtis passed?
Catherine Curtis passed the Series 7 in November 1987.
Where did Catherine Curtis work before Curtis Financial Planning?
Before Curtis Financial Planning, Catherine Curtis was registered through Clearrock Capital LLC, August 2012 to July 2013.
Where is Catherine Curtis based?
Catherine Curtis’ registered office is in Oakland, CA.
Is Catherine Curtis registered with FINRA?
No. Catherine Curtis has no current broker registration.
Is Catherine Curtis a CFP?
Curtis Financial Planning lists Catherine Curtis with the CFP credential (“Certified Financial Planner (CFP®)”) on its website. CFP Board confirms certification status.
Source: Cathy Curtis, CFP® biography, curtisfinancialplanning.com
How can I verify Catherine Curtis’ record?
Search CRD 1644947 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Catherine Curtis’ full registration record.