Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Fingelly Daly is a financial advisor with over 12 years of experience in the industry. Catherine is currently registered with Pimco Investments LLC and is licensed to offer securities in 53 states and the District of Columbia. Catherine has a strong background in investment management and has held previous positions with Quasar Distributors, LLC, Brookfield Private Advisors LLC, Independent Brokerage Solutions LLC and HRC Fund Associates, LLC. Catherine holds the Series 6, Series 7, Series 63 and SIE licenses.
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
NY
03/28/2023 - Present
Pimco Investments LLC (NEW YORK NY)
NY
01/13/2022 - 03/15/2023
QUASAR DISTRIBUTORS, LLC (New York NY)
NY
02/05/2018 - 10/29/2021
QUASAR DISTRIBUTORS, LLC (New York NY)
NY
03/12/2021 - 10/27/2021
BROOKFIELD PRIVATE ADVISORS LLC (New York NY)
NY
10/10/2019 - 10/27/2021
INDEPENDENT BROKERAGE SOLUTIONS LLC (NEW YORK NY)
NY
03/11/2011 - 02/02/2018
HRC FUND ASSOCIATES, LLC (NEW YORK NY)
BC
Issued 07/12/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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