Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathleen? Claim Your ProfileCathleen Depasquale is a financial professional with over 30 years of experience in the industry. Cathleen is currently registered with &partners and Securities Management & Research, Inc. and has previously been registered with a number of other firms, including Moomoo Financial Inc., Excelsior Equities, TradeStation Securities, Inc., Truist Investment Services, Inc. and Steward Partners Investment Solutions, LLC. Cathleen holds a number of licenses and designations including Series 7, Series 3, Series 4, Series 5, Series 8, Series 9, Series 10, Series 14, Series 14A, Series 15, Series 24, Series 27, Series 52TO, Series 53, Series 55, Series 57TO, Series 63, Series 65, Series 87 and Series 99TO.
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.
Portfolio manager selection, furnish advice not involving securities, research report services, 1042 portfolio construction
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Trans fee, service charges; 12b-1; money market trls; bdsp
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2
TN
08/23/2023 - Present
&partners (NASHVILLE TN)
NJ
05/12/2022 - 09/07/2023
MOOMOO FINANCIAL INC. (JERSEY CITY NJ)
CO
02/10/2021 - 07/27/2023
EXCELSIOR EQUITIES (Denver CO)
FL
01/18/2022 - 04/02/2023
TRADESTATION SECURITIES, INC. (PLANTATION FL)
GA
09/28/2022 - 01/11/2023
TRUIST INVESTMENT SERVICES, INC. (ATLANTA GA)
OR
11/24/2021 - 10/02/2022
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC (PORTLAND OR)
GA
05/10/2021 - 01/31/2022
TRUIST INVESTMENT SERVICES, INC. (ATLANTA GA)
FL
02/21/2019 - 01/25/2022
I-BANKERS DIRECT, LLC (BOCA RATON FL)
VA
07/16/2014 - 01/19/2021
EASTERN POINT SECURITIES, INC. (LEXINGTON VA)
MA
10/30/2019 - 03/09/2020
GAGE-WILEY & CO., INC. (NORTHAMPTON MA)
PA
09/25/2015 - 12/12/2019
LPS CAPITAL LLC (Baden PA)
MA
07/14/2015 - 11/26/2018
GAGE-WILEY & CO., INC. (NORTHAMPTON MA)
VA
12/11/2013 - 11/09/2017
CARY STREET PARTNERS (RICHMOND VA)
CA
10/24/2016 - 05/03/2017
SHARESPOST FINANCIAL CORPORATION (SAN FRANCISCO CA)
TN
10/19/2016 - 03/31/2017
AVONDALE PARTNERS, LLC (NASHVILLE TN)
PA
09/30/2016 - 03/31/2017
CAPITAL ONE SECURITIES, INC. (Baden PA)
PA
07/08/2014 - 11/27/2015
EMERGING GROWTH EQUITIES, LTD. (BRYN MAWR PA)
TX
01/24/2014 - 08/26/2015
USCA SECURITIES LLC (HOUSTON TX)
KS
05/15/2015 - 08/05/2015
CNBS (OVERLAND PARK KS)
NA
02/15/2013 - 03/11/2014
FIRST BERMUDA SECURITIES LTD. (HAMILTON )
AL
08/30/2013 - 10/23/2013
STERNE AGEE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
NJ
07/31/2012 - 03/01/2013
THE VERTICAL GROUP (RED BANK NJ)
NJ
09/20/2010 - 11/15/2011
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NJ
02/21/2007 - 11/15/2011
E*TRADE CLEARING LLC (JERSEY CITY NJ)
IL
09/20/2010 - 05/09/2011
E*TRADE CAPITAL MARKETS LLC (CHICAGO IL)
NY
03/22/2004 - 03/05/2007
BEAR, STEARNS & CO. INC. (BROOKLYN NY)
NY
03/22/2004 - 03/05/2007
BEAR, STEARNS SECURITIES CORP. (BROOKLYN NY)
TX
04/11/2001 - 03/12/2004
FLEET SECURITIES, INC. (DALLAS TX)
NY
10/11/1996 - 04/09/2001
ROBB PECK MCCOOEY CLEARING CORPORATION (NEW YORK NY)
NY
01/13/1995 - 09/10/1996
STATE CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
08/03/1994 - 01/15/1995
ROBERT TODD FINANCIAL CORP. (NEW YORK NY)
NY
08/08/1986 - 11/10/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/23/1985 - 02/27/1985
THE STUART-JAMES COMPANY, INC.
IA
Issued 02/09/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/25/1997
Series 14 - Compliance Officer Examination
BC
Issued 09/25/1996
Series 14A - Compliance Official Specialist Exam
BC
Issued 11/06/1989
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/15/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/21/1986
Series 4 - Registered Options Principal Examination
BC
Issued 03/15/1986
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/04/1986
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/20/1987
Series 5 - Interest Rate Options Examination
BC
Issued 04/13/1987
Series 15 - Foreign Currency Options Examination
BC
Issued 04/04/1986
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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