Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathleen? Claim Your ProfileCathleen Ringo is an active investment advisor representative with LPL Financial LLC. Cathleen has been in the financial services industry since 2005. Cathleen has experience with Cetera Investment Services LLC, Morgan Keegan & Company, Inc., and Raymond James Financial Services, Inc. Cathleen has earned the Series 6, 7, 24, 63, and 66 securities licenses. Cathleen is currently registered with the state of North Carolina. Cathleen has a strong background in financial planning and portfolio management. Cathleen is committed to helping her 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
NC
02/11/2021 - Present
LPL Financial LLC (CHARLOTTE NC)
NC
09/13/2016 - 01/05/2021
FIRST CITIZENS INVESTOR SERVICES, INC. (CHARLOTTE NC)
MN
11/04/2013 - 12/05/2015
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
AL
02/13/2007 - 03/31/2012
MORGAN KEEGAN & COMPANY, INC. (BIRMINGHAM AL)
FL
07/21/2004 - 02/13/2007
AMSOUTH INVESTMENT SERVICES, INC. (FORT MYERS FL)
FL
05/08/2003 - 07/30/2003
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
IL
03/13/2001 - 06/21/2001
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
IL
02/04/1999 - 09/30/1999
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
BOTH
Issued 11/16/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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