Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Smith is a financial advisor who has been in the industry since 2001. Catherine is currently registered with Aon Securities LLC and has a Series 6 and Series 63 license. Catherine has been with Aon Securities LLC since 2014. Prior to that, Catherine worked at FIRST ALLIED SECURITIES, INC. and CLARK SECURITIES, INC..
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.
Fairness opinions
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.
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2
MN
04/17/2014 - Present
AON Securities LLC (Bloomington MN)
MN
05/31/2007 - 04/01/2014
FIRST ALLIED SECURITIES, INC. (MINNEAPOLIS MN)
MN
02/06/2002 - 05/31/2007
CLARK SECURITIES, INC. (MINNEAPOLIS MN)
IN
03/02/2000 - 10/09/2000
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
BC
Issued 04/21/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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