Cathy S. Holmes
Professional summary
Cathy Sorensen Holmes, who also goes by Cathy Sorensen Daigle, Cathy Sorensen Holmes, Cathy Holmes, Cathy Jo Sorensen-daigle, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Birmingham, Alabama.
Cathy is registered as a RR (Registered Representative) and started their career in finance in 1988. Cathy has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cathy Sorensen Holmes's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1900 5th Ave N, Birmingham, AL 35203May 6, 2021 - February 28, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 22, 2015 - October 29, 2020
IBERIA CAPITAL PARTNERS L.L.C.
December 15, 2008 - February 11, 2009
STONEX INTERNATIONAL SECURITIES INC.
November 13, 2008 - January 5, 2009
STANCHART SECURITIES INTERNATIONAL, INC.
November 9, 2007 - November 13, 2008
IRC SECURITIES
January 11, 2007 - September 2, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
March 15, 2006 - December 31, 2014
1ST BRIDGEHOUSE SECURITIES, LLC
May 25, 1988 - April 14, 2004
CAPITAL ONE INVESTMENTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/14/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 12/20/2022
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340Birmingham, AL 35203TRUST BUT VERIFY
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