Catherine Maivan Hoang
Investment Adviser Representative at MMA Securities LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Catherine Maivan Hoang is an investment adviser representative with MMA Securities LLC in Dallas, TX, where they have been registered since 2023. They have worked in the securities industry since 2015 and have been registered with 3 firms, including Lockton Financial Advisors, LLC and Fidelity Brokerage Services LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 9
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
1 state or territory
Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Lockton Companies, LLCFeb 2015 – Oct 2017Dallas, TX
- Lockton Financial Advisors, LLCFeb 2015 – Oct 2017Dallas, TX
- Fidelity Brokerage Services LLCNov 2017 – Apr 2018Westlake, TX
- Lockton Companies LLCApr 2018 – Apr 2018Dallas, TX
- Lockton Financial Advisors, LLCApr 2018 – Apr 2019DAllas, TX
- MMA AgencyApr 2019 – no end date reportedDallas, TX
- MMA Securities LLCApr 2019 – no end date reportedDallas, TX
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About MMA Securities LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Commissions
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Dallas, TX
Other advisors whose filed branch office is in the same city.
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 Maivan Hoang 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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