Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Finley is a financial advisor with over 10 years of experience in the industry. Catherine currently works at Osaic Wealth, Inc. Catherine has held previous positions at several other firms including SAGEPOINT FINANCIAL, INC., D.A. DAVIDSON & CO., CAMBRIDGE INVESTMENT RESEARCH, INC., RBC CAPITAL MARKETS, LLC, WELLS FARGO CLEARING SERVICES, LLC, MORGAN STANLEY, MORGAN STANLEY SMITH BARNEY, and CITIGROUP GLOBAL MARKETS INC.. Catherine is licensed to provide financial advice in Colorado. Catherine offers a wide range of services to her clients including financial planning, portfolio management, pension consulting, and educational seminars. Catherine is committed to helping her 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.
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.
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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AZ
09/01/2023 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
AZ
09/21/2022 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
MT
04/05/2021 - 11/02/2021
D.A. DAVIDSON & CO. (BUTTE MT)
CA
03/12/2019 - 04/18/2019
CAMBRIDGE INVESTMENT RESEARCH, INC. (San Diego CA)
CO
10/03/2018 - 11/06/2018
RBC CAPITAL MARKETS, LLC (FORT COLLINS CO)
CO
02/23/2017 - 08/02/2017
WELLS FARGO CLEARING SERVICES, LLC (BOULDER CO)
WA
08/23/2010 - 10/11/2016
MORGAN STANLEY (SEATTLE WA)
WA
06/01/2009 - 10/08/2009
MORGAN STANLEY SMITH BARNEY (SEATTLE WA)
WA
06/17/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
BC
Issued 04/11/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2017
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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