Catherine Knox White
Professional Summary
Catherine Knox White, who also goes by Catherine Knox, was a registered financial advisor. Catherine was a previously registered financial professional and started their career in finance 1993 - 2020. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Catherine Knox
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
ALTERNATIVE STRATEGIES BROKERAGE SERVICES, INC. | KEYSTONE MASSACHUSETTS INC. | KEYSTONE MASSACHUSETTS DISTRIBUTORS INC. | KEYSTONE INVESTMENT DISTRIBUTORS COMPANY | KEYSTONE DISTRIBUTORS, INC. | GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC. | EVERGREEN INVESTMENTS | EVERGREEN INVESTMENT SERVICES, INC.
Contact Information
Established
Delaware since 07/23/1952Firm Type
CorporationFiscal Year End
DecemberDocuments
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
4Arbitration
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1998Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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