Catherine E. Flaherty
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 Elizabeth Flaherty, who also goes by Catherine E Flaherty, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1998. Catherine had worked at 6 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2011 - October 18, 2012
AXIOM CAPITAL MANAGEMENT, INC.
June 21, 2005 - October 2, 2009
THE BENCHMARK COMPANY, LLC
April 7, 2004 - April 20, 2005
FULCRUM GLOBAL PARTNERS LLC
May 31, 2002 - April 5, 2004
BLAYLOCK & COMPANY, INC.
February 26, 2001 - May 9, 2002
COMMERZ MARKETS LLC
July 7, 1998 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, 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
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
