Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Rowan is a financial advisor with Raymond James & Associates, Inc. based in San Antonio, TX. Catherine has been in the industry since 2004. She has a wide range of experience in the financial services industry, having worked with various firms including Wells Fargo Advisors, LLC, and USAA Financial Advisors, Inc. Catherine is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 9, 10, 31, 66, and 99TO licenses. She is also registered as an Investment Advisor Representative (IAR) in Texas.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
11/20/2019 - Present
Raymond James & Associates, Inc. (SAN ANTONIO TX)
TX
06/22/2010 - 11/21/2019
WELLS FARGO CLEARING SERVICES, LLC (AUSTIN TX)
TX
02/09/2010 - 04/13/2010
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
TX
01/01/2008 - 01/21/2010
WELLS FARGO ADVISORS, LLC (AUSTIN TX)
TX
11/19/2003 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUSTIN TX)
BOTH
Issued 12/22/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/22/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/11/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/05/2024
Series 31 - Futures Managed Funds Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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