Catherine Loquet has been an investment adviser representative at Financial & Tax Architects since January 2024, and is not listed among the firm’s executive officers or direct owners.
Financial & Tax Architects, LLC is a St. Louis, MO firm with $506M under management, 1,574 clients and 40 advisers across 22 offices, as of its June 2026 filing.
Catherine Loquet’s longest registration was 5 years at Waveland Capital Partners LLC (2005–2010). Before joining Financial & Tax Architects in 2024, Catherine Loquet was registered through Arque Capital, LTD. and Waveland Capital Partners LLC.
- – present · 2 yearsNewport Beach, CA · Adviser representative · Firm CRD 119169
- Arque Capital, LTD.– · under a yearIrvine, CA · Adviser representative · Firm CRD 121192
- Waveland Capital Partners LLC– · 5 yearsIrvine, CA · Adviser representative · Firm CRD 40054
- Waveland Investment Advisors, LLC– · under a yearPasadena, CA · Adviser representative · Firm CRD 119505
Investment adviser representative registrations
Catherine Loquet is registered as an investment adviser representative in 2 states. The first approvals date from January 2024; the most recent is Texas, in January 2025.
- CaliforniaSince 9 January 2024
- TexasSince 13 January 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 November 2023 |
| Series 66 | Uniform Combined State Law Examination | 4 March 2005 |
| Series 7 | General Securities Representative Examination | 27 January 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 April 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 March 1998 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Catherine Soo Loquet
- CRD
- 3021480
- Firm
- Financial & Tax Architects · CRD 119169
- Office
- 4343 Von Karman Avenue, Ste 100P, Newport Beach, CA 92660
- Registration
- Investment adviser registration
- In the industry since
- September 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Catherine Loquet work?
Catherine Loquet is an investment adviser representative registered through Financial & Tax Architects, LLC since January 2024, and is not listed among the firm’s executive officers or direct owners.
Is Catherine Loquet a financial advisor?
Yes. Catherine Loquet has a current investment-adviser registration in California and Texas, through Financial & Tax Architects since January 2024.
How many years of experience does Catherine Loquet have?
Catherine Loquet has 9 years in the financial industry, since September 2017, across 4 adviser firms.
What exams has Catherine Loquet passed?
Catherine Loquet has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 66 and Series 65. The earliest, the Series 6, was passed in March 1998.
Where did Catherine Loquet work before Financial & Tax Architects?
Before Financial & Tax Architects, Catherine Loquet was registered through Arque Capital, LTD., June 2012 to February 2013; Waveland Capital Partners LLC, July 2005 to November 2010; Waveland Investment Advisors, LLC, March 2005 to August 2005.
Where is Catherine Loquet based?
Catherine Loquet’s registered office is in Newport Beach, CA.
Is Catherine Loquet registered with FINRA?
No. Catherine Loquet has no current broker registration.
How can I verify Catherine Loquet’s record?
Search CRD 3021480 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Catherine Loquet’s full registration record.
David BrooksChief Executive Officer
Gordon HaavePresident and Chief Investment Officer- Paul FelschChief Compliance Officer & Legal Counsel