Catherine B. Carr
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 B Carr, CFP®, who also goes by Catherine Berkeley Carr, Catherine Carr Carr, Catherine Carrglynn, Catherine Berkeley Glynn, Catherine Carr Glynn, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1982. Catherine had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - January 29, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 8, 2008 - July 13, 2018
STRATEGIC ADVISERS LLC
October 12, 2006 - January 3, 2020
FIDELITY BROKERAGE SERVICES LLC
January 23, 2006 - July 25, 2006
BALLENTINE FINN & CO INC
January 30, 2004 - November 29, 2005
FIVE 9 SECURITIES, LLC
October 22, 1990 - January 15, 2002
NEEDHAM & COMPANY, LLC
May 22, 1989 - February 22, 1990
SPALDING ASSOCIATES, INC.
March 25, 1982 - January 23, 1989
CANACCORD GENUITY LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
