Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine E Haffner has been in the financial services industry for over 12 years. Catherine is currently registered with Raymond James Financial Services Advisors, Inc. and has been with the firm since December 2024. Catherine's previous experience includes roles with KINGSWOOD CAPITAL PARTNERS, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and J.P. MORGAN SECURITIES LLC. Catherine offers a variety of services to clients, including financial planning, pension consulting, educational seminars, and portfolio management. Catherine is committed to providing her clients with the highest level of service and expertise.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TX
12/02/2024 - Present
Raymond James Financial Services Advisors, Inc. (San Antonio TX)
TX
12/09/2021 - 07/28/2023
KINGSWOOD CAPITAL PARTNERS, LLC (Dallas TX)
TX
05/08/2018 - 06/16/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
12/21/2015 - 04/11/2018
J.P. MORGAN SECURITIES LLC (SAN ANTONIO TX)
TX
05/11/2012 - 11/24/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN ANTONIO TX)
TX
05/07/2008 - 10/28/2008
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
TX
05/07/2008 - 10/28/2008
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
NY
09/08/2005 - 04/18/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/15/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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