Catherine M. Risinger
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 Mccoy Risinger, who also goes by Cathy Mccoy, Catherine Lee Risinger, Cathy Risinger, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1984. Catherine had worked at 14 firms and has passed the Series 63, Series 7, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2008 - February 1, 2008
APPLE TREE INVESTMENTS, INC.
September 5, 2006 - January 12, 2007
AMSOUTH INVESTMENT SERVICES, INC.
May 19, 1999 - August 17, 1999
FHN FINANCIAL SECURITIES CORP.
February 4, 1998 - October 9, 1998
BANC ONE CAPITAL MARKETS, INC.
March 20, 1995 - December 5, 1997
BANC ONE SECURITIES CORPORATION
August 4, 1993 - November 12, 1993
BANC OF AMERICA SECURITIES LLC
July 13, 1992 - August 4, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 3, 1991 - December 31, 1991
SOVRAN INVESTMENT CORPORATION
March 18, 1991 - April 8, 1991
NATIONSBANC SECURITIES OF GEORGIA, INC.
August 20, 1990 - February 26, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 20, 1990 - February 26, 1991
PRUCO SECURITIES, LLC.
December 12, 1988 - July 9, 1990
R.M. DUNCAN SECURITIES, INC.
June 7, 1985 - January 11, 1989
BOWMAN & COMPANY INCORPORATED
August 20, 1984 - March 10, 1987
DELTA FINANCIAL INVESTMENT CORPORATION
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
APPLE TREE INVESTMENTS, INC.
CRD#: 144444 / SEC#: , 8-67657
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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