Catherine M. Bonneau
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 Mccormack Bonneau, who also goes by Catherine Mccormack Krokus, Catherine Anne Mccormack, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1997. Catherine had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 26, 2018 - April 14, 2020
FIRST ALLIED SECURITIES, INC.
February 26, 2018 - April 14, 2020
CETERA ADVISORS LLC
February 26, 2018 - April 14, 2020
CETERA WEALTH SERVICES, LLC
August 10, 2016 - December 31, 2016
LEGEND EQUITIES CORPORATION
August 8, 2016 - April 14, 2020
CETERA FINANCIAL SPECIALISTS LLC
January 21, 2014 - April 14, 2020
CETERA INVESTMENT ADVISERS LLC
October 15, 2008 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 30, 2006 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
March 30, 2006 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
March 30, 2006 - April 14, 2020
CETERA INVESTMENT SERVICES LLC
November 24, 2003 - October 10, 2006
CETERA WEALTH SERVICES, LLC
April 25, 2000 - March 4, 2003
VOYA FINANCIAL PARTNERS, LLC
September 15, 1997 - August 24, 1998
BANKBOSTON INVESTOR SERVICES, 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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
