Catherine Guild
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 Guild, who also goes by Catherine L Chick, Catherine Chick, Catherine L Guild, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1994. Catherine had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2020 - June 21, 2022
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 26, 2019 - October 14, 2019
PINNACLE INVESTMENTS, LLC
October 10, 2017 - January 29, 2020
ESSEX SECURITIES LLC
May 18, 2017 - October 6, 2017
OSAIC FS, INC.
May 18, 2017 - October 6, 2017
OSAIC FA, INC.
July 27, 2016 - May 26, 2017
ESSEX SECURITIES LLC
August 12, 2015 - May 23, 2016
COMMONWEALTH FINANCIAL NETWORK
June 10, 2014 - August 26, 2015
INVESTORS CAPITAL CORP.
August 30, 2007 - June 4, 2014
INVEST FINANCIAL CORPORATION
April 22, 1994 - September 10, 2007
OSAIC FS, 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
Current Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 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.
