Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Borgman is a financial advisor at LPL Financial LLC, a large independent broker-dealer based in Fort Mill, SC. Cathy has been in the financial services industry since 2005. She has a wide range of experience working with individuals, families, and businesses. Cathy is committed to providing her clients with personalized financial advice and helping them achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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
SC
10/07/2022 - Present
LPL Financial LLC (FORT MILL SC)
NE
02/22/2011 - 08/25/2022
PACIFIC SELECT DISTRIBUTORS, LLC (OMAHA NE)
WA
03/13/2009 - 02/04/2011
STATE FARM VP MANAGEMENT CORP. (DUPONT WA)
MA
10/25/1999 - 07/01/2002
SAFECO INVESTMENT SERVICES, INC. (BOSTON MA)
MA
09/13/1996 - 03/11/1998
PNMR SECURITIES, INC. (BOSTON MA)
BC
Issued 09/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2011
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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