Catherine K. White
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 Knox White, who also goes by Catherine Knox, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1993. Catherine had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53, Series 4, Series 14, Series 8, Series 24 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
October 30, 2015 - January 2, 2020
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
July 28, 2011 - May 20, 2015
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
July 30, 2010 - August 23, 2010
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
August 2, 2007 - May 20, 2015
RUSSELL INVESTMENTS
August 2, 2007 - May 20, 2015
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
October 5, 2000 - July 20, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
July 20, 1995 - October 2, 2000
LIEBER & COMPANY
October 17, 1994 - March 24, 1995
WACHOVIA SECURITIES, INC.
October 25, 1993 - September 21, 1994
FIRST UNION BROKERAGE SERVICES, 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
Series 8
Date: 1/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
CRD#: 487 / SEC#: , 8-395
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO BANK, N.A. | MEMBER | |
| CLEWS, KENNETH JAMES | FINOP/PRINCIPAL FINANCIAL OFFICER | 4155852 |
| GALLO, NICOLE ELISE | CHIEF COMPLIANCE OFFICER | 4915541 |
| NICOLOSI, SEAN MICHAEL | PRINCIPAL OPERATIONS OFFICER, DIRECTOR | 4082275 |
| TABACK, ADAM IRA | PRESIDENT / DIRECTOR | 2378786 |
| WILLS-ZAPATA, TRACY CECILE | DIRECTOR | 2601580 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
