Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Hartendorp is an investment professional with over 20 years of experience in the financial services industry. Catherine is currently registered with Raymond James & Associates, Inc. where she focuses on helping clients build and manage their financial portfolios. Previously, Catherine worked with Wells Fargo Clearing Services, LLC, A. G. Edwards & Sons, Inc., Wachovia Securities, Inc., and UBS PaineWebber Inc. Catherine is also licensed in 15 states, including Arizona, California, Delaware, Florida, Maine, Michigan, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, Oklahoma, Utah, and Washington.
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
CA
06/02/2022 - Present
Raymond James & Associates, Inc. (BEVERLY HILLS CA)
CA
01/01/2008 - 06/06/2022
WELLS FARGO CLEARING SERVICES, LLC (BEVERLY HILLS CA)
CA
08/30/2002 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SANTA MONICA CA)
MO
06/28/2001 - 09/18/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NJ
05/09/2001 - 08/17/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BC
Issued 08/26/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/27/1998
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Catherine Hartendorp is the right advisor for you? Invested Better is here to help.
