Catherine Prentice, IACCP®
Director of Compliance
Cathi oversees the firm’s compliance operations. Previously, Cathi served as the Client Services Manager for Syndicated Capital, a brokerage startup based in Irvine, California. Prior to that, Cathi served as Client Services Manager at Brookstreet Securities. Cathi has received the Investment Advisor Certified Compliance Professional® (IACCP®) designation. Cathi attended Texas Women’s University and lives with her family in Irvine, California.