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CT

Catherine Thomas

SUTTER SECURITIES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2230741
CT

Professional summary

Catherine Thomas, who also goes by Catherine Rivera, is a registered financial professional currently at SUTTER SECURITIES INCORPORATED located in Boca Raton, Florida.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2000. Catherine has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 11 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Rivera

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Thomas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 2, 2021 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 2500 N. Military Trail Suite 306, Boca Raton, FL 33431
BD
CRD#: 30770
Boca Raton, FL
Past

February 3, 2021 - August 29, 2024

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
Boca Raton, FL
Past

February 22, 2017 - May 19, 2020

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
BOCA RATON, FL
Past

July 13, 2016 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
Boca Raton, FL
Past

May 23, 2016 - March 2, 2017

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BOCA RATON, FL
Past

September 17, 2015 - March 2, 2017

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

June 1, 2011 - August 31, 2015

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD
CRD#: 8361
BOCA RATON, FL
Past

March 22, 2010 - April 5, 2011

WESTMINSTER FINANCIAL SECURITIES, INC.

BD
CRD#: 20677
MIAMI BEACH, FL
Past

November 4, 2004 - March 22, 2010

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MIAMI BEACH, FL
Past

November 27, 2001 - November 4, 2004

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

August 31, 2001 - December 5, 2001

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

December 4, 2000 - August 31, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/2/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/24/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 12/2/2000
Assistant Representative-Order Processing Qualification Exam
SRO Registrations
RR
FINRA

Current Firm

SS
SUTTER SECURITIES INCORPORATED
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED

CRD#: 30770 / SEC#: , 8-45158

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Phone number
(415) 352-6300
Established
California since 07/22/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS)SHAREHOLDER
BULL, ROBERT LEE IVFINOP1521134
CHOMATIL, NEHRU SUBRAMANIANCHIEF COMPLIANCE OFFICER2342004
MALEY, ROBERT ANDREWEXECUTIVE VICE PRESIDENT2442794
MATTHEWS, GILBERT ELLIOTTSR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN
SMITH, LINCOLN JOSEPH JRPRESIDENT, CEO2501422

Disclosures

Regulatory Event1
Bond1

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.

Company Information

SUTTER SECURITIES INCORPORATED

CRD#: 30770Boca Raton, FL 33431

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