Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Evans is a financial advisor at Raymond James & Associates, Inc. Catherine has been in the financial services industry since 1993 and has a broad range of experience in investments. Catherine is a Series 7, 9, 10, 63, and SIE licensed professional. Catherine's background includes experience at UBS Financial Services Inc. and J.C. Bradford & Co. Catherine specializes in providing financial planning, portfolio management, and investment advisory services for individuals, businesses, 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.
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.
Please see note in schedule d - miscellaneous
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
NC
06/02/2006 - Present
Raymond James & Associates, Inc. (GREENVILLE NC)
NJ
08/14/2000 - 06/22/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/26/1993 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
BC
Issued 03/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/21/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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