Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Jollene Williams is a financial advisor who has been in the industry since October 13, 2003. Catherine Williams is currently registered with DFA Securities LLC and is licensed in 50 states. Catherine has a wide range of experience in the financial services industry, having previously worked at Fidelity Brokerage Services LLC and Coldstream Securities, Inc. Catherine Williams is also a registered principal and holds several licenses, including Series 7, 24, and 63.
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.
1
2
NC
03/02/2018 - Present
DFA Securities LLC (CHARLOTTE NC)
CA
05/22/2014 - 01/06/2017
FIDELITY BROKERAGE SERVICES LLC (SAN FRANCISCO CA)
WA
02/26/2002 - 11/08/2013
COLDSTREAM SECURITIES, INC. (BELLEVUE WA)
BC
Issued 03/08/2002
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2002
Series 7 - General Securities Representative Examination
BC
Issued 07/31/1996
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
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