Cathleen Shine
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.
Cathleen Shine, who also goes by Cathleen Farrell Shine, was a registered financial professional .
Cathleen is a previously registered financial professional and started their career in finance in 1995. Cathleen had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2014 - December 2, 2014
HIMCO DISTRIBUTION SERVICES COMPANY
August 8, 2013 - December 2, 2014
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
February 22, 2012 - August 14, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
May 22, 2008 - March 4, 2010
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 2, 2007 - March 4, 2010
SANFORD C. BERNSTEIN & CO., LLC
September 17, 2003 - October 24, 2006
JEFFERIES EXECUTION SERVICES, INC.
September 17, 2003 - October 24, 2006
JEFFERIES LLC
September 29, 1999 - October 3, 2001
GOLDMAN SACHS & CO. LLC
April 25, 1995 - December 6, 2000
SANFORD C. BERNSTEIN & CO., 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 8
Date: 1/22/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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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