Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine L Theisen is a financial advisor who has been working in the financial services industry since 1999. Catherine is currently registered with Wedbush Securities Inc. Catherine is licensed to provide securities-related advice in 9 states, including Arizona, California, Colorado, Idaho, Nevada, Ohio, Oregon, and Utah. Catherine has also passed the Series 7, Series 31, Series 63, and Series 65 exams.
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.
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.
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CA
07/08/2008 - Present
Wedbush Securities Inc. (NEWPORT BEACH CA)
AZ
05/18/2001 - 06/26/2008
WACHOVIA SECURITIES, LLC (SCOTTSDALE AZ)
NY
08/19/1999 - 05/30/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/03/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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