Cathy J. Tew
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.
Cathy Jo Tew, who also goes by Cathy Jo Tew Tarpley, Cathyjo Tarpley, Cathy -jo Tew, Cathyjo Tew, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1983. Cathy had worked at 17 firms and has passed the Series 63, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - February 29, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 27, 2009 - December 23, 2009
COLORADO FINANCIAL SERVICE CORPORATION
June 12, 2007 - August 14, 2007
UBS FINANCIAL SERVICES INC.
September 7, 2004 - July 7, 2005
JANNEY MONTGOMERY SCOTT LLC
June 21, 2004 - August 17, 2004
NATIONAL PLANNING CORPORATION
May 13, 2004 - June 28, 2004
TRUIST INVESTMENT SERVICES, INC.
November 21, 2003 - January 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2002 - June 7, 2002
QUICK & REILLY, INC.
June 4, 1996 - September 7, 2001
TD AMERITRADE, INC.
January 26, 1996 - April 18, 1996
UBS CAPITAL MARKETS L.P.
November 17, 1995 - January 17, 1996
AMERIPRISE ADVISOR SERVICES, INC.
April 24, 1991 - November 9, 1995
CHARLES SCHWAB & CO., INC.
July 7, 1989 - April 3, 1991
BARNETT INVESTMENTS, INC.
January 30, 1989 - May 25, 1989
WACHOVIA SECURITIES, INC.
November 16, 1988 - January 19, 1989
THE STUART-JAMES COMPANY, INCORPORATED
January 16, 1987 - March 5, 1988
BLACKSTOCK & LANDSTREET, INC.
December 21, 1983 - February 3, 1987
BLACKSTOCK & CO., INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Series 8
Date: 7/12/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 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.
