Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Corgan is a financial advisor with DFA Securities LLC. Catherine has been in the financial industry since 2012 and has a wide range of experience working with clients. She is registered to offer securities in 50 states. Catherine has earned the Series 6, Series 7, and Series 63 licenses. Prior to working at DFA Securities LLC, Catherine worked at NUVEEN SECURITIES, LLC, TEACHERS PERSONAL INVESTORS SERVICES, INC., and LPL FINANCIAL LLC.
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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NC
09/26/2018 - Present
DFA Securities LLC (CHARLOTTE NC)
NC
03/21/2016 - 01/30/2018
NUVEEN SECURITIES, LLC (CHARLOTTE NC)
NC
06/06/2014 - 03/21/2016
TEACHERS PERSONAL INVESTORS SERVICES, INC. (CHARLOTTE NC)
NC
01/03/2012 - 05/28/2014
LPL FINANCIAL LLC (CHARLOTTE NC)
BC
Issued 02/13/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2012
Series 7 - General Securities Representative Examination
BC
Issued 12/13/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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