Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Butner is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in New York, NY. Cathy has over 30 years of experience in the financial services industry. Cathy holds Series 4, 7, 10, 24, 63 and 72 licenses. Cathy's previous experience includes positions with BANC OF AMERICA INVESTMENT SERVICES, INC., BANK SOUTH INVESTMENT SERVICES, INC., WHEAT, FIRST SECURITIES, INC., THE PINNACLE GROUP, INC., and E. F. HUTTON & COMPANY INC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NC
12/04/1989 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NA
05/01/1996 - 08/02/1996
BANK SOUTH INVESTMENT SERVICES, INC.
NA
11/17/1989 - 12/08/1989
WHEAT, FIRST SECURITIES, INC.
NC
05/27/1988 - 12/08/1989
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NA
03/20/1986 - 06/02/1988
THE PINNACLE GROUP, INC.
NA
04/23/1985 - 03/05/1986
E. F. HUTTON & COMPANY INC
BC
Issued 05/10/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/05/2001
Series 24 - General Securities Principal Examination
BC
Issued 02/22/1995
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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