Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Therese Brown is a financial advisor at Charles Schwab & CO., Inc. Catherine has over 25 years of experience in the financial services industry. She has held previous positions at LPL FINANCIAL CORPORATION, INVEST FINANCIAL CORPORATION, STIFEL, NICOLAUS & COMPANY, INCORPORATED, MCDONALD INVESTMENTS INC., NATCITY INVESTMENTS, INC., and NATIONAL CITY INVESTMENTS CORPORATION. Catherine holds Series 7, 9, 10 and 63 licenses, as well as the Securities Industry Essentials Examination (SIE). Catherine has a focus on financial planning and specializes in working with individual clients.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
12/07/2010 - Present
Charles Schwab & CO., Inc. (Westlake TX)
IN
11/30/2009 - 11/15/2010
LPL FINANCIAL CORPORATION (GREENWOOD IN)
IN
07/02/2008 - 12/01/2009
INVEST FINANCIAL CORPORATION (GREENWOOD IN)
IN
05/16/2005 - 12/20/2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED (INDIANAPOLIS IN)
OH
09/21/1999 - 05/17/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
TX
12/16/1997 - 08/11/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
OH
06/01/1996 - 12/02/1997
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NA
09/02/1993 - 06/01/1996
NATIONAL CITY INVESTMENTS CORPORATION
BC
Issued 09/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/03/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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