Catherine J. Rosen
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 Jean Rosen, who also goes by Catherine Jean Strzalkowski, Catherine Jean Wilson, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1998. Catherine had worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1998 - April 7, 2025
WATERMARK SECURITIES, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
WATERMARK SECURITIES, INC.
CRD#: 28683 / SEC#: , 8-43902
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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