Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Rose Chen is a financial advisor with RBC Capital Markets, LLC, a registered investment advisor with over $50 billion in assets under management. Catherine is a highly experienced advisor with a focus on providing comprehensive financial planning and investment management services to a diverse clientele. Catherine has been in the financial services industry since February 2002, with previous experience at UBS Financial Services Inc. and Piper Jaffray & Co.. Catherine is licensed in numerous states across the country and holds multiple licenses and certifications, including the Series 7, Series 31, Series 66, and SIE exams. Catherine is committed to providing clients with personalized financial advice and investment strategies tailored to their unique needs and 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
CA
08/25/2006 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
CA
08/12/2006 - 09/05/2006
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
02/26/2002 - 08/12/2006
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
BOTH
Issued 03/09/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 02/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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