Catherine L. Hall
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 Louise Hall, who also goes by Catherine Louise Hall Mrs., Catherine Louise Lule, Catherine Louise Tucker, Catherine Louise Tuckerhall, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1995. Catherine had worked at 6 firms and has passed the Series 63, Series 55 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
Experience
April 6, 2005 - December 31, 2013
BLEY INVESTMENT GROUP, INC.
December 17, 2002 - April 8, 2005
WFG INVESTMENTS, INC.
July 7, 1999 - July 25, 2002
FROST SECURITIES, INC.
March 2, 1998 - November 19, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 14, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
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
Series 55
Date: 8/24/2005
Limited Representative-Equity Trader ExamCurrent Firm
BLEY INVESTMENT GROUP, INC.
CRD#: 26678 / SEC#: , 8-42701
Contact information
FINRA licenses (15 States and Territories)
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.
