Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Carlock is a financial advisor at LPL Financial LLC. Catherine has been working in the financial industry for over 15 years and has experience in providing financial advice to individuals, businesses, and institutions. Catherine is licensed to sell securities in several states, including Virginia, Texas, and Georgia. Catherine holds a Series 7 and Series 66 license as well as the Series 63 license. Catherine can provide services such as financial planning, portfolio management, and investment advice. Catherine is committed to helping clients 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.
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.
Consulting and other non-discretionary advisory services
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.
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2
VA
01/31/2018 - Present
LPL Financial LLC (LEXINGTON VA)
VA
11/22/2017 - 01/02/2018
KESTRA INVESTMENT SERVICES, LLC (LEXINGTON VA)
VA
01/30/2009 - 11/28/2017
LPL FINANCIAL LLC (LEXINGTON VA)
VA
03/19/2007 - 12/22/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RICHMOND VA)
BOTH
Issued 04/18/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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