Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Holmes is a financial advisor with Vanguard Advisers, Inc. Catherine has been in the financial industry since 1998. Catherine is licensed to sell securities in North Carolina and Texas. Catherine holds the Series 63, Series 7, Series 65 and SIE licenses and is registered with the state of North Carolina. Catherine also has experience with J.C. Bradford & Co., Interstate/Johnson Lane Corporation, Lehman Brothers Inc., Blunt Ellis & Loewi Incorporated, First Union Brokerage Services, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Catherine specializes in providing financial planning and investment advice to individuals and families, as well as corporations and other businesses. Catherine also provides portfolio management services for pooled investment vehicles.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
08/29/2017 - Present
Vanguard Advisers, Inc. (CHARLOTTE NC)
NY
10/26/1999 - 06/28/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NC
04/14/1992 - 05/28/1998
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
NY
01/24/1992 - 04/15/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/29/1988 - 02/01/1990
BLUNT ELLIS & LOEWI INCORPORATED
NA
07/24/1987 - 03/15/1988
FIRST UNION BROKERAGE SERVICES, INC.
NA
03/23/1984 - 08/11/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/25/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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