Catherine L. Woodworth
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 Louise Woodworth, who also goes by Katherine Louise Woodworth, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1992. Catherine had worked at 4 firms and has passed the Series 63, SIE, Series 25, Series 7, Series 11, Series 14, Series 9, Series 10, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2001 - January 6, 2021
QUATTRO M SECURITIES INC.
September 20, 2000 - October 8, 2001
U.S. SECURITIES & FUTURES CORP.
November 4, 1999 - November 3, 2000
INVESTOR'S ADVOCATE, LLC
October 21, 1992 - November 17, 1999
WOLFF INVESTMENT GROUP INCORPORATED
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
Series 25
Date: 3/28/2002
NYSE Trading Assistant ExaminationSeries 11
Date: 10/19/1992
Assistant Representative-Order Processing Qualification ExamCurrent Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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