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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Springer gallant is a financial advisor with Raymond James & Associates, Inc., a firm based in St. Petersburg, FL. Catherine Springer gallant has been in the financial industry since March 11, 2012. Catherine Springer gallant is a registered representative with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc. Catherine Springer gallant has been registered with Raymond James & Associates, Inc. since January 29, 2020 and Raymond James Financial Services Advisors, Inc. since April 18, 2018. Catherine Springer gallant holds the Series 6, 7, 63, 24, 52TO, 53, and SIE licenses. Catherine Springer gallant specializes in providing financial planning, portfolio management, and investment advice to a wide range of clients, including individuals, families, businesses, and institutions. Catherine Springer gallant has experience working with clients of all ages and stages of life, and is committed to providing personalized and comprehensive financial advice that meets their individual needs.
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
FL
01/29/2020 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
FL
04/10/2017 - 03/26/2018
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
GA
10/17/2014 - 03/23/2017
G.F. INVESTMENT SERVICES, LLC (MCDONOUGH GA)
FL
06/15/2010 - 02/21/2013
SUNTRUST INVESTMENT SERVICES, INC. (SARASOTA FL)
IA
Issued 05/11/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2016
Series 24 - General Securities Principal Examination
BC
Issued 09/01/2020
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2016
Series 7 - General Securities Representative Examination
BC
Issued 06/14/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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