Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Charter has been in the financial services industry since 2012. Catherine is currently registered with Fidelity Brokerage Services LLC and is a Series 7, Series 63, and Series 65 licensed professional. Catherine has also held previous positions with Charles Schwab & Co., Inc., MML Investors Services, Inc., Prudential Securities Incorporated, Ashton Young Financial Services, Inc., American Express Financial Advisors Inc., IDS Life Insurance Company, Olde Discount Corporation, Morgan Keegan & Company, Inc., and Alan Bush Brokerage Co.
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.
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.
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2
KY
07/30/2024 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
IN
12/07/2006 - 05/13/2011
CHARLES SCHWAB & CO., INC. (INDIANAPOLIS IN)
MA
03/16/1999 - 05/11/1999
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
07/27/1996 - 12/19/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
04/03/1993 - 07/18/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
MI
01/04/1991 - 12/31/1991
ASHTON YOUNG FINANCIAL SERVICES, INC. (BLOOMFIELD HILLS MI)
MN
10/31/1989 - 10/31/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/31/1989 - 10/31/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MI
05/24/1989 - 08/19/1989
OLDE DISCOUNT CORPORATION (DETROIT MI)
NA
09/22/1987 - 04/14/1989
MORGAN KEEGAN & COMPANY, INC.
NA
11/20/1985 - 05/08/1986
ALAN BUSH BROKERAGE CO
BC
Issued 01/11/2007
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/15/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/31/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/04/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/30/2024
Series 7TO - General Securities Representative Examination
BC
Issued 05/24/2024
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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