Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Lyon Thomas is a financial advisor at Kestra Investment Services, LLC and has been in the financial services industry since December 2, 2015. Catherine holds the Series 6, Series 63, and SIE licenses and is registered in Delaware and North Carolina. She previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
11/07/2016 - Present
Kestra Investment Services, LLC (Burlington NC)
NY
03/26/2001 - 03/01/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/05/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Catherine Thomas is the right advisor for you? Invested Better is here to help.
