Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Brooks is a financial advisor based in Houston, Texas. Catherine has been in the financial services industry since July 4, 2000. She is currently registered with Southstate|duncanwilliams Securities Corp. and holds licenses for Series 6, Series 7, and Series 63. Catherine has previously worked at several other firms, including FLAGSTAR ADVISORS, AMERICAN GENERAL DISTRIBUTORS, INC., AIG RETIREMENT ADVISORS, INC., FROST BROKERAGE SERVICES, INC., and COMPASS BROKERAGE, INC.
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
TX
02/23/2024 - Present
Southstate|duncanwilliams Securities Corp. (Houston TX)
TX
10/18/2010 - 12/12/2023
FLAGSTAR ADVISORS (HOUSTON TX)
TX
04/07/2008 - 07/23/2009
AMERICAN GENERAL DISTRIBUTORS, INC. (HOUSTON TX)
TX
05/18/2000 - 04/15/2008
AIG RETIREMENT ADVISORS, INC. (HOUSTON TX)
TX
07/29/1999 - 03/29/2000
FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)
AL
09/21/1998 - 05/08/1999
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BC
Issued 10/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/04/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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