Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Anderson is a financial advisor with Wells Fargo Advisors Financial Network, LLC in Newport Beach, California. Catherine has over 30 years of experience in the financial services industry. Catherine is a Series 7 and Series 63 registered representative. Catherine is also a Series 65 registered investment advisor. Prior to joining Wells Fargo Advisors, Catherine worked as a financial advisor with UBS Financial Services Inc. in Newport Beach, California. Catherine provides financial planning and investment management services to individuals, families, 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
01/10/2020 - Present
Wells Fargo Advisors Financial Network, LLC (NEWPORT BEACH CA)
CA
10/27/2011 - 01/21/2020
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
CA
05/19/2006 - 10/27/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EL SEGUNDO CA)
CA
10/14/2003 - 05/26/2006
CITIGROUP GLOBAL MARKETS INC. (LONG BEACH CA)
NJ
04/20/1991 - 10/30/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
11/25/1987 - 01/31/1991
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
BC
Issued 06/16/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/14/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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