Catherine A. Charter
Professional summary
Catherine Ann Charter, who also goes by Catherine Ann Bauder, Catherine Ann Bauder, Catherine A Charter, Catherine Charter, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 1985. Catherine has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catherine Ann Charter's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015December 7, 2006 - May 13, 2011
CHARLES SCHWAB & CO., INC.
March 16, 1999 - May 11, 1999
MML INVESTORS SERVICES, LLC
July 27, 1996 - December 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 3, 1993 - July 18, 1996
CHARLES SCHWAB & CO., INC.
January 4, 1991 - December 31, 1991
ASHTON YOUNG, INC.
October 31, 1989 - October 31, 1990
IDS LIFE INSURANCE COMPANY
October 31, 1989 - October 31, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
May 24, 1989 - August 19, 1989
AMERIPRISE ADVISOR SERVICES, INC.
September 22, 1987 - April 14, 1989
MORGAN KEEGAN & COMPANY, LLC
November 20, 1985 - May 8, 1986
JW GENESIS CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 7TO
Date: 7/30/2024
General Securities Representative ExaminationSeries 8
Date: 10/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
