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Cathy Humphrey

Director, Chief Operating Officer; Sr. Vice President at Ullico Investment Advisors

Broker registration; no current adviser registration

Cathy Humphrey is Director, Chief Operating Officer; Sr. Vice President of Ullico Investment Advisors, Inc., a Bethesda investment adviser managing $13.9B. Cathy Humphrey has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

5
Licensing exams

From the IAPD record · data retrieved 18 October 2026 · page updated 20 October 2026SEC record

Career

Cathy Humphrey is Director, Chief Operating Officer and Sr. Vice President of Ullico Investment Advisors. Cathy Humphrey is a control person of the firm and directly owns under 5% of it.

Ullico Investment Advisors, Inc. is a Bethesda, MD firm with $13.9B under management, 25 clients and 58 advisers across 6 offices, as of its August 2026 filing.

No adviser firm registrations are on Cathy Humphrey’s record.

Credentials and registrations

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 6321 December 2005
Name
Uniform Securities Agent State Law Examination
Series 247 September 2005
Name
General Securities Principal Examination
Series 716 August 2005
Name
General Securities Representative Examination

Individual record

Full name
Cathy Ann Humphrey
CRD
4899999

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Cathy Humphrey work?

Cathy Humphrey is Director, Chief Operating Officer; Sr. Vice President of Ullico Investment Advisors, Inc., and is a control person of the firm.

Source: Form ADV, Schedule A, filed 4 August 2026

Does Cathy Humphrey have a current investment-adviser registration?

Cathy Humphrey has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Cathy Humphrey passed?

Cathy Humphrey has passed 5 licensing exams: the Series 7, Series 24, Series 63, Series 99TO and Series 79TO. The earliest, the Series 7, was passed in August 2005. FINRA credited Cathy Humphrey with the SIE, which began in October 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Ullico Investment Advisors

Sources

  1. IAPD individual record, CRD 4899999. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ullico Investment Advisors, Inc., filed 4 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

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