Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Clark is a financial advisor with Vanguard Advisers, Inc., registered in Arizona. Catherine is licensed to provide investment advisory services and securities brokerage services. Catherine has been in the financial services industry since 2002. Catherine specializes in providing financial planning and investment advice for individuals, businesses, and pooled investment vehicles. Catherine also works with charitable organizations, pension and profit-sharing plans, and health and welfare trusts. Catherine has a deep understanding of the financial markets and is committed to helping clients achieve their financial goals. Catherine is a Registered Representative and Investment Advisor Representative for Vanguard Advisers, 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
A percentage of the total value of assets under management is charged.
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2
AZ
07/26/2021 - Present
Vanguard Advisers, Inc. (Scottsdale AZ)
IL
03/01/2021 - 06/15/2021
PFS INVESTMENTS INC. (CHICAGO IL)
IL
09/11/2015 - 03/05/2019
CHARLES SCHWAB & CO., INC. (Chicago IL)
IN
09/16/2013 - 07/16/2015
CUNA BROKERAGE SERVICES, INC. (VALPARAISO IN)
IL
04/04/2006 - 03/06/2012
LPL FINANCIAL LLC (CHICAGO IL)
TX
01/31/2003 - 05/23/2005
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
NY
04/02/2002 - 02/26/2003
NYLIFE SECURITIES INC. (NEW YORK NY)
IA
Issued 04/14/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2004
Series 7 - General Securities Representative Examination
BC
Issued 04/01/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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