Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Kane is a financial professional with over 25 years of experience in the industry. Catherine is currently registered with Pershing LLC in New Jersey and has previously held positions with Park Avenue Securities LLC and Pershing Advisor Solutions LLC. Catherine holds several industry licenses including Series 7, 8, 9, 10, 52, and 63. Catherine is dedicated to providing her clients with personalized financial advice and guidance to help them achieve their financial goals.
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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2
NJ
11/17/2017 - Present
Pershing LLC (JERSEY CITY NJ)
NY
12/07/2015 - 10/19/2016
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NJ
09/19/2005 - 06/17/2014
PERSHING ADVISOR SOLUTIONS LLC (JERSEY CITY NJ)
NJ
04/24/1996 - 09/19/2005
PERSHING LLC (JERSEY CITY NJ)
BC
Issued 10/11/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/08/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/31/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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