Unclaimed
Catherine Ann Cardaci is a financial advisor working at Fidelity Personal And Workplace Advisors. Catherine has been in the industry since 1995 and has been working at Fidelity since 2019. Catherine is registered to provide financial advice in 28 states and has over 25 years of experience in the financial services industry. She is passionate about helping clients achieve their financial goals.
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.
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
NY
10/14/2020 - Present
Fidelity Personal AND Workplace Advisors (CHAPPAQUA NY)
NY
12/16/2014 - 09/19/2018
VAN ECK SECURITIES CORPORATION (NEW YORK NY)
NY
09/10/2013 - 09/18/2014
MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)
NY
02/11/2011 - 01/02/2013
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
12/18/2008 - 11/17/2009
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
ME
09/12/2007 - 12/19/2008
FORESIDE DISTRIBUTION SERVICES, L.P. (PORTLAND ME)
NY
12/01/2005 - 07/19/2007
LEGG MASON INVESTOR SERVICES, LLC (NEW YORK NY)
NY
10/04/2004 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/09/2002 - 08/06/2004
BLACKROCK INVESTMENTS, INC. (NEW YORK NY)
NY
09/06/2001 - 04/09/2002
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NY
06/18/1985 - 08/10/1995
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
BOTH
Issued 10/15/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2004
Series 24 - General Securities Principal Examination
BC
Issued 09/19/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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