Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Elizabeth Cole is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Catherine has been in the financial services industry since 1989 and holds Series 7, 7TO, 52 and SIE licenses, along with a Series 63 license for the state of California. Catherine has been active in the industry for over 30 years, and has experience working with a variety of clients, including high-net-worth individuals, corporations and institutions.
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.
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.
Investment consulting services to institutional clients
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
CA
04/16/2022 - Present
Wells Fargo Clearing Services, LLC (CORTE MADERA CA)
NY
04/12/2002 - 03/28/2003
TRADEWEB L.L.C (NEW YORK NY)
NY
07/31/1998 - 11/13/2000
GOLDMAN, SACHS & CO. (NEW YORK NY)
RI
02/19/1997 - 07/28/1998
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
MA
05/06/1994 - 01/01/1996
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
04/13/1994 - 05/10/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
MO
06/20/1989 - 01/28/1991
BOATMEN'S INVESTMENT SERVICES, INC. (ST. LOUIS MO)
BC
Issued 07/18/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2022
Series 7TO - General Securities Representative Examination
BC
Issued 03/08/2022
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1989
Series 7 - General Securities Representative Examination
BC
Issued 09/30/1987
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Catherine Cole is the right advisor for you? Invested Better is here to help.
