Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Ann Beffa is an investment advisor representative with Wells Fargo Clearing Services, LLC. Cathy has been working in the financial services industry since 1997 and is registered with the state of Missouri and Virginia. She is also a registered representative of Wells Fargo Advisors LLC. Cathy holds the Series 63, 66, 7, 9 and 10 licenses. Cathy has been with Wells Fargo Clearing Services, LLC since 2016 and has worked with clients in Saint Louis, Missouri since 2009. Prior to working at Wells Fargo Advisors LLC Cathy worked at A. G. Edwards & Sons, Inc. Cathy provides financial planning and investment consulting services to both institutional and individual clients. Cathy has a broad understanding of financial services, providing advice on a variety of investment needs, including those for individuals, families, and businesses.
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
MO
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
11/18/1997 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 12/14/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/16/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1997
Series 7 - General Securities 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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