Catherine D. Stinson
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 Duer Stinson, who also goes by Stinson Catherine, Catherine Duer, Catherine Stinson Hume, Catherine Stinson Windsor, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1992. Catherine had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2011 - April 2, 2013
OSAIC INSTITUTIONS, INC.
November 22, 2011 - April 2, 2013
OSAIC INSTITUTIONS, INC.
October 6, 2011 - November 22, 2011
MML INVESTORS SERVICES, LLC
October 6, 2011 - November 22, 2011
MML INVESTORS SERVICES, LLC
November 9, 2007 - September 21, 2011
CUNA BROKERAGE SERVICES, INC.
September 25, 2007 - September 21, 2011
CUNA BROKERAGE SERVICES, INC.
January 10, 2002 - September 12, 2007
ALLSTATE FINANCIAL SERVICES, LLC
January 10, 2000 - October 30, 2000
ROBERT W. BAIRD & CO. INCORPORATED
January 10, 2000 - October 30, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 6, 1999 - November 19, 1999
SIGNATOR INVESTORS, INC.
February 20, 1992 - April 15, 1999
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
