Catherine L. Feeley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Leslie Feeley, who also goes by Catherine Leslie Coggins, Catherine Leslie Los, Catherine Skinner Los, Catherine L Skinner, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1981. Catherine had worked at 14 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2019 - September 6, 2023
OSAIC INSTITUTIONS, INC.
February 8, 2019 - September 6, 2023
OSAIC INSTITUTIONS, INC.
December 19, 2018 - February 1, 2019
ALERUS SECURITIES CORPORATION
March 20, 2006 - April 12, 2006
CALAMOS ADVISORS LLC
March 16, 2006 - April 12, 2006
CALAMOS FINANCIAL SERVICES LLC
April 14, 2004 - January 21, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
May 23, 2003 - January 13, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
February 1, 1999 - April 17, 2003
BANC ONE SECURITIES CORPORATION
February 1, 1999 - April 17, 2003
BANC ONE SECURITIES CORPORATION
November 26, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
March 28, 1994 - December 11, 1996
HORNOR, TOWNSEND & KENT, LLC
January 20, 1994 - March 15, 1994
KEOGLER, MORGAN & COMPANY, INC.
June 13, 1990 - January 17, 1992
IDS LIFE INSURANCE COMPANY
June 13, 1990 - January 17, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 1982 - March 15, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1981 - August 3, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
