Catherine A. Jensen
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 Ann Jensen, who also goes by Catherine Ann Seinert, Catherine Ann Seiwert, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1987. Catherine had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1995 - October 15, 1996
OCC DISTRIBUTORS LLC
October 9, 1991 - January 16, 1992
TD AMERITRADE CLEARING, INC.
December 5, 1989 - January 3, 1991
CAPITAL BROKERAGE CORPORATION
April 11, 1988 - May 4, 1988
LEHMAN BROTHERS INC.
March 24, 1988 - December 20, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 21, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
OCC DISTRIBUTORS LLC
CRD#: 18541 / SEC#: , 8-36893
Contact information
Documents
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.
