Cathy H. Ozaki-young
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.
Cathy Harue Ozaki-young, who also goes by Cathy Harue Ozaki, Cathy H Ozakiyoung, Cathy Harue Ozakiyoung, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1991. Cathy had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2007 - November 16, 2012
C.M.BIDWELL & ASSOCIATES LTD
December 15, 2004 - December 31, 2011
LASALLE ST SECURITIES, L.L.C.
June 12, 2002 - January 9, 2003
CHARLES SCHWAB & CO., INC.
May 12, 1999 - January 9, 2003
CHARLES SCHWAB & CO., INC.
February 17, 1994 - March 8, 1999
FIDELITY BROKERAGE SERVICES LLC
June 10, 1993 - January 31, 1994
BANKOH INVESTMENT SERVICES, INC.
April 11, 1991 - July 16, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
C.M.BIDWELL & ASSOCIATES LTD
CRD#: 107449 / SEC#: 801-14976
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
C.M.BIDWELL & ASSOCIATES LTD
CRD#: 107449 / SEC#: 801-14976
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 144 |
| AUM (Assets Under Management) | $ 213,275,271 |
Red Flags
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