Cathy L. Thomas
Professional summary
Cathy Lynn Thomas, who also goes by Cathy Lynn Brown, Cathy Lynn Turner, is a registered financial advisor currently at TRIANGLE WEALTH MANAGEMENT located in Raleigh, North Carolina.
Cathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Cathy has 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) - RIA
Click below to view Cathy Lynn Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2009 - Present
TRIANGLE WEALTH MANAGEMENT
Office #1: 1301 Annapolis Drive, Raleigh, NC 27608August 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.
Highlighted states indicate IAR registrations
(6/17/2009)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
TRIANGLE WEALTH MANAGEMENT
CRD#: 148156Raleigh, NC 27608TRUST BUT VERIFY
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