Catherine J. Maki
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 Janet Maki, CFP®, who also goes by Catherine Janet Doulos, Catherine Janet Muirhead, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1990. Catherine had worked at 7 firms and has passed the Series 66, Series 65, Series 63 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
Start date: 2012
Experience
February 16, 2011 - July 29, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
July 7, 2010 - October 19, 2010
MML INVESTORS SERVICES, LLC
February 9, 2005 - October 19, 2010
MML INVESTORS SERVICES, LLC
April 17, 2001 - July 17, 2001
NATCITY INSURANCE SERVICES, INC.
April 17, 2001 - January 18, 2005
NATCITY INVESTMENTS, INC.
May 14, 1999 - June 27, 2000
KEYBANC CAPITAL MARKETS INC.
August 12, 1996 - May 14, 1999
KEY INVESTMENTS INC.
December 5, 1990 - September 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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