Catherine Y. Cartier
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 Yves Cartier was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1995. Catherine had worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 31, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2017 - December 20, 2017
PROGRESSIVE ASSET MANAGEMENT, LLC
May 20, 2016 - December 31, 2016
PROGRESSIVE ASSET MANAGEMENT, LLC
October 23, 2015 - December 31, 2021
SECURITIES AMERICA ADVISORS, INC.
October 23, 2015 - December 31, 2021
ARBOR POINT ADVISORS
October 23, 2015 - December 31, 2021
SECURITIES AMERICA, INC.
October 21, 2013 - October 23, 2015
PROGRESSIVE ASSET MANAGEMENT, LLC
July 13, 2011 - October 30, 2015
FINANCIAL WEST GROUP
July 13, 2011 - October 30, 2015
FINANCIAL WEST GROUP
March 18, 2008 - July 14, 2011
PORTFOLIO RESOURCES ADVISOR GROUP, INC.
March 14, 2008 - July 14, 2011
PORTFOLIO RESOURCES GROUP, INC.
November 1, 2006 - August 27, 2010
EQIS SECURITIES, LLC
November 4, 2004 - March 27, 2008
FINANCIAL WEST GROUP
May 3, 1999 - March 27, 2008
FINANCIAL WEST GROUP
June 6, 1995 - November 9, 2017
EQIS SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
PROGRESSIVE ASSET MANAGEMENT, LLC
CRD#: 167563 / SEC#:
Contact information
Red Flags
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