Catherine C. Boswell
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 Cochran Boswell, who also goes by Catherine C Boswell, Catherine Ann Cochran, Catherine Cochran Boswell, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1986. Catherine had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2014 - January 27, 2017
CAPRIN ASSET MANAGEMENT, LLC
March 26, 2007 - October 27, 2010
WEALTHCARE CAPITAL MANAGEMENT LLC
May 23, 1986 - June 17, 1989
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
CAPRIN ASSET MANAGEMENT, LLC
CRD#: 106657 / SEC#: 801-53959
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,067 |
| AUM (Assets Under Management) | $ 1,373,745,986 |
Red Flags
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