Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathryn? Claim Your ProfileCathryn Caldwell is a financial advisor with J.P. Morgan Securities LLC. Cathryn has been working in the financial industry since 1999. Cathryn has a broad range of experience with multiple firms in her career, including ScotTrade, Inc., E*TRADE Securities LLC, American General Securities Incorporated, DLJDIRECT INC., and Smith Barney Inc. Cathryn holds licenses to advise in both the states of Texas and New Jersey. Cathryn is a registered representative with the Financial Industry Regulatory Authority (FINRA) and is registered as an investment advisor representative in the state of Texas. Cathryn specializes in retirement planning, financial planning, portfolio management, and investment management.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
04/15/2013 - Present
J.p. Morgan Securities LLC (FRIENDSWOOD TX)
TX
03/15/2004 - 09/11/2007
SCOTTRADE, INC. (HOUSTON TX)
NJ
03/11/2002 - 06/11/2003
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
AZ
10/20/1999 - 01/03/2001
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
NJ
07/28/1997 - 02/08/1999
DLJDIRECT INC. (JERSEY CITY NJ)
NY
03/03/1997 - 07/11/1997
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 04/12/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/02/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2013
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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