Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Choi is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in the industry since May 4, 2018. Cathy Choi is also a registered investment advisor representative. Previously, Cathy Choi was employed by UBS Financial Services Inc. Cathy Choi has passed several securities licensing exams including Series 7, Series 31, Series 66, Series 9 and Series 10. Cathy Choi is registered in 53 states and 2 other jurisdictions. Cathy Choi is also a director and owner of Buju Studio LLC.
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
CA
01/03/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALO ALTO CA)
CA
04/13/2018 - 12/10/2018
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
BOTH
Issued 07/09/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/01/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/10/2024
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/2018
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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