Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathleen? Claim Your ProfileCathleen Ackley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with over $1 trillion in assets under management. Cathleen has been in the industry since 2007 and has a broad range of experience in providing financial advice. Cathleen holds several licenses and designations including Series 7, Series 6, Series 63, and Series 65. Cathleen can assist clients with a variety of financial needs, including portfolio management, investment advice, and retirement planning. Cathleen has worked at Morgan Stanley Smith Barney and Pacific West Securities, Inc. in the past.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WA
09/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
08/13/2010 - 09/11/2012
MORGAN STANLEY SMITH BARNEY (SEATTLE WA)
WA
11/01/2007 - 08/03/2010
PACIFIC WEST SECURITIES, INC. (SEATTLE WA)
IA
Issued 3/7/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/10/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/7/2010
Series 7 - General Securities Representative Examination
BC
Issued 10/31/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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