AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
CR

Catherine Mccoy Risinger

CRD# 1083338·Registered 1984 - 2008
Previously Registered: Being a previously registered professional could mean that Catherine 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.

Professional Summary

Catherine Mccoy Risinger, who also goes by Cathy Mccoy, Catherine Lee Risinger, Cathy Risinger, was a registered financial advisor. Catherine was a previously registered financial professional and started their career in finance 1984 - 2008. Catherine had worked at 14 firms and has passed the Series 63, Series 7, Series 24, Series 53 and Series 27 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Cathy Mccoy, Catherine Lee Risinger, Cathy Risinger

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

42 years in the financial services industry

Current & Past Employments

APPLE TREE INVESTMENTS, INC.·CRD# 144444
BD
Little Rock, AR
January 29, 2008 - February 1, 2008
AMSOUTH INVESTMENT SERVICES, INC.·CRD# 15692
BD
Birmingham, AL
September 5, 2006 - January 12, 2007
FHN FINANCIAL SECURITIES CORP.·CRD# 46346
BD
Memphis, TN
May 19, 1999 - August 17, 1999
BANC ONE CAPITAL MARKETS, INC.·CRD# 27267
BD
Columbus, OH
February 4, 1998 - October 9, 1998
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
March 20, 1995 - December 5, 1997
BANC OF AMERICA SECURITIES LLC·CRD# 26091
BD
New York, NY
August 4, 1993 - November 12, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
July 13, 1992 - August 4, 1993
SOVRAN INVESTMENT CORPORATION·CRD# 16441
BD
May 3, 1991 - December 31, 1991
NATIONSBANC SECURITIES OF GEORGIA, INC.·CRD# 315
BD
March 18, 1991 - April 8, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA·CRD# 680
BD
Newark, NJ
August 20, 1990 - February 26, 1991
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
August 20, 1990 - February 26, 1991
R.M. DUNCAN SECURITIES, INC.·CRD# 14344
BD
Little Rock, AR
December 12, 1988 - July 9, 1990
BOWMAN & COMPANY INCORPORATED·CRD# 15983
BD
June 7, 1985 - January 11, 1989
DELTA FINANCIAL INVESTMENT CORPORATION·CRD# 14391
BD
August 20, 1984 - March 10, 1987

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

AT
APPLE TREE INVESTMENTS, INC.

APPLE TREE INVESTMENTS, INC.

CRD#: 144444 / SEC#: 8-67657
BD
Terminated by SEC on 02/20/2010

Contact Information

Established

Arkansas since 02/05/2007

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
KIEFER RETIREMENT SERVICES, INC.OWNER/PARENT—
BROWN, MICHAEL OWENFINOP/CFO1658070
JONES, CALVIN CHRISTIAN SRMUNICIPAL SECURITIES PRINCIPAL3110283
KIEFER, JOHN STEVENPRESIDENT/CEO/CCO/MUNICIPAL SECURITIES PRINCIPAL4428904

Disclosures

Regulatory Event

1

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 2006About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2006About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 1989About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 1984About the Series 27 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
CR
Follow Catherine
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required