Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathleen? Claim Your ProfileCathleen Pike is a financial advisor with over 20 years of experience in the financial services industry. Cathleen has been registered with Wells Fargo Clearing Services, LLC since November 2016, and prior to that was a financial advisor at Money Concepts Capital Corp. Cathleen holds Series 6, 7, 63 and 66 licenses, as well as the SIE exam. Cathleen provides a variety of financial services to her clients, including investment consulting, financial planning, pension consulting, portfolio management, and selection of other advisors.
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.
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.
Investment consulting services to institutional clients
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
FL
03/03/2016 - Present
Wells Fargo Clearing Services, LLC (TARPON SPRINGS FL)
CA
04/10/2000 - 03/19/2002
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
FL
07/24/1996 - 06/18/1997
MONEY CONCEPTS CAPITAL CORP (PALM BEACH GARDENS FL)
NY
11/07/1990 - 09/25/1995
MONY SECURITIES CORP. (NEW YORK NY)
NJ
03/16/1988 - 05/08/1990
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 03/03/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2016
Series 7 - General Securities Representative Examination
BC
Issued 04/06/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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