Catharine B. Welytok
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.
Catharine B Welytok, who also goes by Catharine Weinkauf Boylan, Catherine Weinkauf Boylan, Catherine 'kate' ^ Boylan ^, Catharine W Burns, Catharine Weinkauf Burns, Catherine Weinkauf Burns, Catharine Louise Weinkauf, Kate ^ Weinkauf ^, was a registered financial professional .
Catharine is a previously registered financial professional and started their career in finance in 1983. Catharine had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2008 - June 18, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2008 - June 18, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 2004 - November 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 10, 1998 - February 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 8, 1995 - May 28, 1998
UBS FINANCIAL SERVICES INC.
December 3, 1993 - January 17, 1995
CITIGROUP GLOBAL MARKETS INC.
June 7, 1993 - September 7, 1993
NATIONSSECURITIES
March 31, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 29, 1985 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
July 12, 1984 - December 26, 1984
CHESLEY AND DUNN, INC.
March 6, 1984 - May 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
October 20, 1983 - January 31, 1984
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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: 4/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
