Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Thompson is a financial advisor with Wells Fargo Clearing Services, LLC. Catherine has over 20 years of experience in the financial services industry and is dedicated to helping her clients achieve their financial goals. Catherine holds the Series 7, Series 63, Series 65 and Series 66 licenses. She is also registered with the state of Minnesota. Prior to joining Wells Fargo, Catherine worked at Edward Jones and Financial Network Investment Corporation. Catherine is committed to providing her clients with personalized financial advice and guidance.
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.
1
2
MN
07/01/2021 - Present
Wells Fargo Clearing Services, LLC (MINNEAPOLIS MN)
MN
02/08/2019 - 09/12/2019
EDWARD JONES (ST LOUIS PARK MN)
CA
11/27/2003 - 03/25/2008
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
GA
04/09/1999 - 11/30/2001
FSC SECURITIES CORPORATION (ATLANTA GA)
MN
03/27/1997 - 03/12/1999
MILLER & SCHROEDER FINANCIAL, INC. (MINNEAPOLIS MN)
BOTH
Issued 03/04/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/31/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/17/2019
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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