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CH

Cathy Elaine Hansen

CRD# 2106689·Registered 1990 - 2019
Previously Registered: Being a previously registered professional could mean that Cathy 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.

Professional Summary

Cathy Elaine Hansen, who also goes by Cathy Elaine Crippen, was a registered financial advisor. Cathy was a previously registered financial professional and started their career in finance 1990 - 2019. Cathy had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Cathy Elaine Crippen

Blog Corner

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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.

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.

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Years of Experience

36 years in the financial services industry

Current & Past Employments

A & M SECURITIES, LLC·CRD# 39345
BD
Alpharetta, GA
August 22, 2003 - December 26, 2019
FIRST EQUITY CORPORATION OF FLORIDA·CRD# 9
BD
Miami, FL
March 28, 2000 - July 17, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.·CRD# 10164
BD
Sarasota, FL
May 4, 1999 - December 2, 1999
SPIRES FINANCIAL, L.P.·CRD# 38209
BD
Houston, TX
January 30, 1998 - March 12, 1999
A & M SECURITIES, LLC·CRD# 39345
BD
Alpharetta, GA
June 26, 1996 - April 9, 1997
SPIRES FINANCIAL, L.P.·CRD# 38209
BD
Houston, TX
March 13, 1995 - August 2, 1995
PINNACLE FINANCIAL, INC.·CRD# 30691
BD
Houston, TX
June 30, 1994 - March 13, 1995
WESTCAP SECURITIES, L.P.·CRD# 7301
BD
Houston, TX
March 2, 1994 - October 24, 1994
MMAR GROUP, INC.·CRD# 25329
BD
Houston, TX
November 14, 1990 - December 22, 1993

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Current Firm

A&
A & M SECURITIES, LLC

A & M SECURITIES, INC. | A & M SECURITIES, LLC

CRD#: 39345 / SEC#: 8-48648
BD
Terminated by SEC on 02/24/2020

Contact Information

Established

Georgia since 08/15/1995

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALBRITTON, HUGH IIICEO/FINOP/CCO2663444

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Other business activities

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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1990About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Sep 1994About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jul 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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