Today we’d like to introduce you to Catherine Haffner.
Hi Catherine, so excited to have you with us today. What can you tell us about your story?
Mine is a story of rags to riches and back to rags and riches. The first 25 years spent working in top Fortune 500 companies, including Bank of America / Merrill Lynch, GE Capital, JPMorgan Chase, PNC, and U.S. Bank. Moved my family to seven different cities in six states, as I advanced in my career. Finally settled down in San Antonio 18 years ago when USAA recruited me. Decided to put down roots in SA.
Retired from corporate life in 2008, and enjoyed the “country club life.” A friend and I co-authored a book, Better Because of You, which was launched in 2010. It was named a “Favorite Gift” by Jeanne Nordstrom (of the Nordstrom retail family), and Forbes created a national video of our journey from leaving the corporate life.
In 2012, When Merrill Lynch was recruiting for financial advisors (investment management), I decided to start all over again, and make a difference in people’s lives by advising them on their financial nest eggs.
I also decided to get involved in the community and served on a few non-profit boards, including Dress for Success SA, Communities in Schools SA, and the Children’s Bereavement Center. I now serve on the advisory board for the local American Cancer Society.
I started my independent Private Wealth office in December 2024, and have loved every minute of it.
Alright, so let’s dig a little deeper into the story – has it been an easy path overall and if not, what were the challenges you’ve had to overcome?
Yes, there have been obstacles. Several of my top clients followed me right away, The toughest challenge is avoiding a “hard sell” and showing prospects the benefits of my advice and the resources of my affiliation with Raymond James (independent channel)
We’ve been impressed with Haffner Private Wealth, but for folks who might not be as familiar, what can you share with them about what you do and what sets you apart from others?
My independent investment office was founded in December 2024. After learning investment management at the largest firms (Merrill Lynch, JPMorgan), I learned that Raymond James offered an extensive level of access to top money managers and technology, similar to the biggest firms, however, I make the decisions on how to serve my clients and at what price.
There is no requirement to serve only serve clients who have a certain amount of investments (e.g. $ 1 million+) or set quotas on new sales to meet annual goals, or which investment models must be used for certain clients.
With my own firm, I recommend the investment strategy that fits my clients financial plan, which we build together. We assess their risk profile, time horizon, and financial goals. I have access to all the financial planning tools and the most experienced money managers.
What differentiates me is I consider myself as a “financial coach” – advising clients on ways to finance their dreams and goals.
Is there anyone you’d like to thank or give credit to?
My first inspirations were my parents who immigrated from the Philippines. My father served over 40 years between the U.S. Navy and the Civil Service. He taught me the importance of service and loyalty to others. My mother was a teacher in the Philippines and earned her nursing degree here. She taught me and my two sisters: “If others can do it, so can I.”
In business, my mentors were Bob, from Bank of America: He nicknamed me “The Velvet Steamroller” – meaning that I help others to achieve results with a velvet touch.
The mentor who had the biggest impact on bringing my leadership to the next level was Mitzie, an executive coach from Gap International. When I was at PNC Financial, our division CEO hired executive coaches for his key leaders This is where I learned how to engage all stakeholders to achieve “what’s possible.”
As a financial advisor, I would credit my time at JPMorgan on teaching me how to assess the best investment managers for my clients.
Pricing:
- My financial advice is based on the total relationship (investment balances) that I manage
- It is a “Managed Account Fee” that’s tiered based on the investments managed by me.
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