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Catherine Elizabeth Gueli

Investment Adviser Representative at NOVEM GROUP

Rochester, NYCRD #7058910Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
7 yrs
States Registered
8 states
Exams Passed
3

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Catherine Elizabeth Gueli has worked in the securities industry since 2019. They are registered to provide investment advisory services in Colorado, Connecticut, Illinois, Maryland, New York, Ohio, Oregon, and Pennsylvania.

Registrations & licenses

Registration type
Dual-registered
Registered in 8 states
ColoradoConnecticutIllinoisMarylandNew YorkOhioOregonPennsylvania
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/21/2019
Series 7
General Securities Representative Examination
Passed 2/26/2019
SIE
Securities Industry Essentials Examination
Passed 1/30/2019

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $250,0002.50%
$250,001 - $500,0002.25%
$500,001 - $1,000,0002.00%
$1,000,001 - $5,000,0001.75%
Over $5,000,0001.50%
Source

Novem Group Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NOVEM GROUPCurrent
9/26/2024Rochester, NY
RBC CAPITAL MARKETS, LLC
3/21/201910/10/2024Rochester, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Catherine Elizabeth Gueli has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Catherine Elizabeth Gueli - Financial Advisor in Rochester, NY | AdvisorFinder