Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Anne Moore is a financial professional with over 30 years of experience in the industry. Catherine is currently registered with Goldman Sachs & Co. LLC and has held previous positions with Mercer Allied Company, L.P., Janney Montgomery Scott LLC, C.E. Unterberg, Towbin, First Albany Corporation, FS Funds Distributor, Inc., Morgan Stanley & Co., Incorporated and Mitchell Hutchins Asset Management Inc. Catherine holds a number of professional licenses and designations, including Series 3, Series 7, Series 16, Series 63 and Series 87. Catherine has worked with a variety of clients, including high-net-worth individuals, corporations, and pooled investment vehicles. Catherine's focus is on providing comprehensive financial planning and investment management services.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
NY
04/24/2012 - Present
Goldman Sachs & Co. LLC (COHOES NY)
NY
03/07/2007 - 05/09/2012
MERCER ALLIED COMPANY, L.P. (LATHAM NY)
NY
07/16/2003 - 07/27/2006
JANNEY MONTGOMERY SCOTT LLC (ALBANY NY)
NY
02/02/2001 - 10/31/2002
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (NEW YORK NY)
NY
01/03/1997 - 03/13/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
01/31/1994 - 03/10/1994
FS FUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
08/15/1986 - 01/17/1992
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NA
08/23/1983 - 08/12/1986
MITCHELL HUTCHINS ASSET MANAGEMENT INC.
BC
Issued 08/28/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2015
Series 3 - National Commodity Futures Examination
BC
Issued 02/01/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/11/2003
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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