Catherine A. Van Houten
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 A Van Houten, who also goes by Catherine Ann Van Houten, Catherina Ann Vanhouten, Catherine Ann Vanhouten, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1987. Catherine had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 24 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
October 21, 2013 - May 11, 2017
SS&C MARKET SERVICES, LLC
July 19, 2011 - May 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
September 28, 2010 - November 2, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - April 15, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2009 - November 2, 2010
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
February 26, 1987 - October 5, 2009
AMERIPRISE ADVISOR 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
Series 55
Date: 10/19/1998
Limited Representative-Equity Trader ExamCurrent Firm
SS&C MARKET SERVICES, LLC
CRD#: 23568 / SEC#: , 8-40530
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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