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 registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Bellevue, Washington. Cathleen has over 15 years of experience in the financial services industry. Cathleen is also registered as an investment advisor representative in Washington and Texas. Cathleen's experience includes working with individuals, high-net-worth individuals, corporations, and other businesses. Cathleen provides a variety of financial services, including portfolio management, financial planning, and investment advisory services. Cathleen previously worked at MORGAN STANLEY SMITH BARNEY and PACIFIC WEST SECURITIES, INC. Cathleen has earned several industry certifications, including Series 7, Series 6, Series 63, and Series 65.
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 03/07/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/10/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2010
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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