Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine M Smith has been in the securities industry for over 15 years. Catherine has a wide range of experience working in the financial services industry. Catherine is currently registered with Fidelity Brokerage Services LLC and has been with the firm since 2013. Catherine holds Series 6, 7, and 63 licenses. She has previously worked at Fidelity Investments Institutional Services Company, Inc., and AIG Financial Advisors, 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.
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.
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NH
10/29/2013 - Present
Fidelity Brokerage Services LLC (MERRIMACK NH)
NH
07/14/2009 - 06/20/2012
FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)
NH
01/01/2008 - 12/04/2008
FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)
NH
11/03/2006 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MERRIMACK NH)
AZ
03/27/2006 - 10/06/2006
AIG FINANCIAL ADVISORS, INC. (SCOTTSDALE AZ)
BC
Issued 07/21/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2013
Series 7 - General Securities Representative Examination
BC
Issued 03/24/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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