CN
CN

Catherine Elizabeth Novak

24 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
72 clients
Average Client Portfolio
$20.3M average
Assets Under Management
$1.5B

Fee Structure

Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $10.0M0.25%
$10.0M - $30.0M0.20%
$30.0M - $50.0M0.17%
$50M+0.15%

Fees are negotiable based on client type, referring source, asset class, pre-existing relationships, portfolio complexity and account size, requirements, or other special circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Minimum Annual Fee:$7,500
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Location

1717 W. Loop South, 10th Floor, Houston, TX, 77027

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Zions Capital Advisors, INC.
February 2017 - Present · 9 yrs
Zions Direct, INC.Broker
June 2016 - Present · 9 yrs 8 mos
Previous Registrations
Amegy Investments, INC.Broker
September 2010 - June 2016 · 5 yrs 9 mos
Amegy Investments, INC.
September 2010 - April 2016 · 5 yrs 7 mos
Amegy Investments, INC.
January 2004 - June 2009 · 5 yrs 5 mos
Amegy Investments, INC.Broker
May 2003 - June 2009 · 6 yrs 1 mo
Fiserv Investor Services, INC.Broker
February 2002 - May 2003 · 1 yr 3 mos
Wells Fargo Investments, LLCBroker
May 2001 - January 2002 · 8 mos
Wells Fargo Securities INC.Broker
March 2000 - May 2001 · 1 yr 2 mos
State Registrations1 state
TX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.