Catherine Suzanne Franklin
Investment Adviser Representative at Mercer Global Advisors Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Catherine Suzanne Franklin is an investment adviser representative with Mercer Global Advisors Inc. in Houston, TX, where they have been registered since 2024. They have worked in the securities industry since 2021 and were previously registered with Legacy Chief Financial Office, LLC. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in Texas.
Office
Advisors at this office: 16
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- 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.
- HFG Wealth Management, LLCMay 2018 – Oct 2018The Woodlands, TX
- Money MattersMay 2015 – May 2018The Woodlands, TX
- Mercer Global Advisors Inc.Oct 2018 – Jun 2019Houston, TX
- Mercer Global Advisors Inc.Jun 2019 – Jun 2022Houston, TX
- Legacy Chief Financial OfficeJul 2022 – Aug 2023The Woodlands, TX
- Mercer Global Advisors Inc.Oct 2023 – Oct 2025Houston, TX
- Mercer Global Advisors Inc.Oct 2025 – no end date reportedHouston, TX
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Mercer Global Advisors Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- Wealth Path - First $1,000,0001.30%
- Wealth Path - Next $1,000,0001.00%
- Custom Wealth / Ascend Group - First $1,000,0001.10%
- Custom Wealth / Ascend Group - Next $1,000,0001.00%
+4 more tiers on the firm profile
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
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 740
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Denver, CO
- SEC file number:
- 801-69271
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 17, 2026
View full firm profileOther advisors at Mercer Global Advisors Inc.
Showing 12 of 740 in the directory
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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 Suzanne Franklin 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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