Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Hoang is a financial advisor who has been in the industry since August 2015. Catherine currently works at MMA Securities LLC, where she provides financial advice to clients. Catherine previously worked at Lockton Financial Advisors, LLC and Fidelity Brokerage Services LLC. Catherine has a broad range of licenses and certifications, including the Series 6, Series 7, Series 63, and Series 66. Catherine specializes in financial planning, investment advising and retirement planning. Catherine provides advisory services to retirement plan participants and has experience working with both individuals and businesses.
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.
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.
Advisory services to retirement plan participants
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.
Based on assets under advisement or per capita
1
2
MA
08/29/2023 - Present
MMA Securities LLC (Boston MA)
TX
05/04/2018 - 03/25/2019
LOCKTON FINANCIAL ADVISORS, LLC (DALLAS TX)
TX
11/21/2017 - 04/25/2018
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
06/08/2015 - 10/30/2017
LOCKTON FINANCIAL ADVISORS, LLC (DALLAS TX)
BOTH
Issued 08/25/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/21/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2018
Series 7 - General Securities Representative Examination
BC
Issued 06/06/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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