Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Mcmichael Elrod is an investment advisor representative at Rockefeller Financial LLC. Catherine is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Catherine's experience spans over 18 years in the financial industry, including previous roles at Truist Investment Services, Inc., Wells Fargo Clearing Services, LLC, RBC Capital Markets, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Wachovia Securities, LLC. Catherine holds a Series 7, 9, 10, 24, 66, SIE, and 99TO licenses and has been actively registered in 41 states and districts. Catherine's areas of specialization include: investment advisory services, financial planning, pension consulting, and selection of other advisers.
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.
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
VA
02/01/2024 - Present
Rockefeller Financial LLC (Richmond VA)
VA
03/22/2022 - 02/05/2024
TRUIST INVESTMENT SERVICES, INC. (RICHMOND VA)
VA
07/28/2014 - 03/23/2022
WELLS FARGO CLEARING SERVICES, LLC (RICHMOND VA)
VA
02/07/2011 - 08/20/2014
RBC CAPITAL MARKETS, LLC (RICHMOND VA)
VA
06/01/2009 - 02/23/2011
MORGAN STANLEY SMITH BARNEY (RICHMOND VA)
VA
05/23/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (RICHMOND VA)
VA
08/26/2005 - 06/10/2008
WACHOVIA SECURITIES, LLC (RICHMOND VA)
BOTH
Issued 03/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/29/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/11/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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