Cathy L. Thomas
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 Lynn Thomas, who also goes by Cathy Lynn Brown, Cathy Lynn Turner, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1999. Cathy had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2009 - February 3, 2026
TRIANGLE WEALTH MANAGEMENT
August 4, 2005 - December 31, 2010
TRIANGLE SECURITIES, LLC
August 2, 2000 - December 14, 2018
TRIANGLE SECURITIES, LLC
October 1, 1999 - September 22, 2000
WELLS FARGO CLEARING SERVICES, LLC
April 8, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
TRIANGLE WEALTH MANAGEMENT
CRD#: 148156 / SEC#: 801-69531
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
TRIANGLE WEALTH MANAGEMENT
CRD#: 148156 / SEC#: 801-69531
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,150 |
| AUM (Assets Under Management) | $ 1,202,394,950 |
Red Flags
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