Catherine M. Shipley-burns
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 Marie Shipley-burns, who also goes by Catherine Marie Shipley Ms., Catherine Marie Shipley, Catherine Marie Shipley-burns Mrs., was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1985. Catherine had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2008 - February 28, 2018
FLAGSTAR ADVISORS
June 30, 2008 - November 24, 2008
LPL FINANCIAL LLC
November 28, 2006 - August 29, 2008
IFMG SECURITIES, INC.
December 20, 2000 - January 3, 2005
FLAGSTAR ADVISORS
September 22, 1995 - July 14, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
November 21, 1994 - September 28, 1995
ESSEX NATIONAL SECURITIES, LLC
July 31, 1993 - February 15, 1994
CITIGROUP GLOBAL MARKETS INC.
December 5, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
February 18, 1986 - October 21, 1986
NEUBERGER BERMAN BD LLC
January 16, 1985 - March 18, 1986
MONARCH FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
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
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTAR BANK, N.A. | SHAREHOLDER | |
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | 3261251 |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | 6106821 |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 4463942 |
| PAWANI, SHWETA PRABHUDAS | FINOP/CHIEF FINANCIAL OFFICER | 4934669 |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 2120399 |
| PITTSEY, MARK ANDREW | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR | 2226562 |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | 3161430 |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | 7987857 |
Regulatory assets under management
| Total Number of Accounts | 1,571 |
| AUM (Assets Under Management) | $ 1,155,077,972 |
Disclosures
| Arbitration | 1 |
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.
