Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Nicholson is an active Registered Representative associated with ADP Broker-Dealer, Inc. Catherine has been in the financial industry since December 9, 2018. Catherine has passed numerous FINRA Exams, including Series 6, 63, 65, 26 and SIE. Catherine also holds registrations in multiple states, with registrations active in all 50 states. Catherine has prior experience with Wells Fargo Advisors, LLC. Catherine is a knowledgeable and experienced financial professional, available to assist clients with their financial planning 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.
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
NJ
02/14/2022 - Present
ADP Broker-Dealer, Inc. (FLORHAM PARK NJ)
VA
02/25/2009 - 05/01/2012
WELLS FARGO ADVISORS, LLC (MECHANICSVILLE VA)
BC
Issued 03/05/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/20/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/2022
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 02/12/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/10/2022
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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