Catherine A. Hanley
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 Ann Hanley, who also goes by Catherine Ann Griffin, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1974. Catherine had worked at 20 firms and has passed the Series 63, Series 1, Series 8, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2006 - February 17, 2014
TD SECURITIES (USA) LLC
September 16, 2004 - February 7, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
September 16, 2004 - February 7, 2006
NATIONAL INVESTOR SERVICES CORP.
September 14, 2004 - February 7, 2006
TD AMERITRADE, INC.
October 17, 2002 - July 14, 2003
TD AMERITRADE CLEARING, INC.
March 8, 2000 - November 8, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
June 10, 1999 - November 22, 2002
ICLEARING LLC
December 24, 1998 - November 19, 2002
ICAPITAL MARKETS LLC
August 21, 1996 - December 15, 1997
FIRST UNITED EQUITIES CORPORATION
July 22, 1992 - July 10, 1996
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
October 27, 1983 - June 22, 1992
QUICK & REILLY, INC.
June 18, 1982 - January 14, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 27, 1980 - May 14, 1982
THE CAPITAL DEFENSE GROUP, LTD.
April 18, 1979 - July 8, 1979
PHILIPS, APPEL & WALDEN, INC.
May 1, 1978 - September 1, 1978
A. G. EDWARDS & SONS, INC.
March 31, 1978 - March 10, 1988
NEDERLAND SECURITIES CORPORATION
October 8, 1976 - March 8, 1977
REYNOLDS SECURITIES, INC.
June 8, 1976 - February 18, 1977
BAKER, WEEKS & CO., INC.
April 28, 1976 - June 20, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC
July 2, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK 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 1
Date: 6/27/1974
Registered Representative ExaminationSeries 8
Date: 2/11/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 1/30/1978
Registered Principal ExaminationCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
