Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caterina? Claim Your ProfileCaterina Ferraro is a financial advisor with D.a. Davidson & Co., in Seattle, Washington. Caterina has been in the industry since July 2002. Caterina is registered as a Broker-Dealer and Investment Adviser Representative, and has licenses to sell insurance and annuities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
WA
09/28/2023 - Present
D.a. Davidson & Co. (SEATTLE WA)
WA
05/12/2009 - 09/22/2023
WELLS FARGO CLEARING SERVICES, LLC (SEATTLE WA)
CA
05/05/2004 - 04/14/2009
JOHN HANCOCK DISTRIBUTORS LLC (SANTA BARBARA CA)
MO
07/01/2003 - 12/31/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
02/12/2002 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/30/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/24/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/19/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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