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CP

Cathy H. Parrott

CAPITAL MANAGEMENT OF THE CAROLINAS
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 1357725
CP

Professional summary

Cathy Harris Parrott, who also goes by Cathy Christine Eaker, Cathy Harris Eaker, Cathy Christine Harris, is a registered financial professional currently at CAPITAL MANAGEMENT OF THE CAROLINAS, LLC located in Charlotte, North Carolina.

Cathy is registered as a RR (Registered Representative) and started their career in finance in 1985. Cathy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cathy Christine Eaker | Cathy Harris Eaker | Cathy Christine Harris

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cathy Harris Parrott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 11, 2016 - Present

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

Office #1: 1520 South Boulevard, Suite 230, Charlotte, NC 28203
BD
CRD#: 110643
Charlotte, NC
Past

January 10, 2005 - December 31, 2015

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
WINSTON-SALEM, NC
Past

January 10, 2005 - December 31, 2015

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
WINSTON-SALEM, NC
Past

December 31, 2001 - November 29, 2004

SENTRY CONSULTING, INC.

RIA
CRD#: 117190
CHARLOTTE, NC
Past

February 4, 1996 - January 26, 2005

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
RALEIGH, NC
Past

June 3, 1994 - January 25, 1996

THE STRATEGIC ALLIANCE CORPORATION

BD
CRD#: 32788
ALBEMARLE, NC
Past

November 12, 1992 - January 21, 1994

CAPITAL MANAGEMENT PARTNERS, INC.

BD
CRD#: 21973
FAIRFIELD, IA
Past

April 24, 1985 - July 5, 1990

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(2/12/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/4/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/1/1981
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/9/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643 / SEC#: , 8-53149

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1520 South Boulevard, Suite 230, Charlotte, NC 28203
Mailing Address
1520 South Boulevard, Suite 230, Charlotte, NC 28203
Phone number
(704) 332-3131
Established
North Carolina since 11/15/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MORIN, MICHAEL LEWISPARTNER/VICE PRESIDENT2951550
RIVERS, JAMES CALVIN JRPARTNER1067542
THE KENNETH LEE CARTER, JR. REVOCABLE TRUSTTRUST
DOUGLASS, REBECCA GENTRYPARTNER1213829
CARTER, KENNETH LEE JRPARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE2822127
YAGER, SHERRI LYNNCHIEF COMPLIANCE OFFICER2660363

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.

Company Information

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643Charlotte, NC 28203

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