Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Branch is a financial advisor with over 29 years of experience in the financial industry. Catherine is currently registered with Wells Fargo Clearing Services, LLC in Illinois and Michigan. Catherine has previously worked for a number of other financial institutions, including First Union Capital Markets Corp. and Stifel, Nicolaus & Company, Incorporated. Catherine holds Series 7, 9, 10, 63, 65, 99TO and SIE licenses. She is also a Registered Principal. Catherine specializes in working with individuals, businesses, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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
MI
02/04/2022 - Present
Wells Fargo Clearing Services, LLC (TROY MI)
IL
10/01/1999 - 12/24/2019
WELLS FARGO CLEARING SERVICES, LLC (CHICAGO IL)
NC
11/17/1995 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
MO
12/01/1994 - 12/08/1995
EVEREN SECURITIES, INC. (ST. LOUIS MO)
MO
09/15/1993 - 11/29/1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
IA
Issued 08/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/26/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1993
Series 7 - General 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
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