Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Mary Carr is an investment advisor representative registered with Stifel, Nicolaus & Company, Inc. in the state of Alabama since 2015. Catherine has been in the securities industry since 1997 and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc. Catherine holds several licenses and designations, including Series 7, Series 10, Series 9, and Series 66, and has experience in financial planning, pension consulting, and portfolio management for individuals and businesses. Catherine's professional background spans over two decades, demonstrating a commitment to providing investment advice and guidance to clients.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
05/21/2020 - Present
Stifel, Nicolaus & Company, Inc. (TUSCALOOSA AL)
AL
07/11/2008 - 10/02/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TUSCALOOSA AL)
AL
08/14/2000 - 07/24/2008
UBS FINANCIAL SERVICES INC. (TUSCALOOSA AL)
NY
11/26/1997 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
BOTH
Issued 09/09/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/27/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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