Catherine A. Groden
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 Groden, who also goes by Catherine Ann Gilmore, Cathy Gilmore, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1988. Catherine had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2013 - December 1, 2017
CIMAS, LLC
May 23, 2007 - October 29, 2007
CIG SECURITIES
August 11, 1989 - May 23, 2007
BRIGHTON SECURITIES CORP.
December 12, 1988 - August 21, 1989
ESSEX CAPITAL MARKETS, INC.
November 23, 1988 - December 21, 1988
ADVEST, 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
CIMAS, LLC
CRD#: 132263 / SEC#: , 8-66579
Contact information
FINRA licenses (4 States and Territories)
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.
