CB
Catherine A. Brooks
SOUTHSTATE|DUNCANWILLIAMS SECURITIES
Houston, TX 77046
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CRD#: 3063415
CB
Professional summary
Catherine Ann Brooks, who also goes by Cathy Ann Brooks, Cathy Brooks, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Houston, Texas.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 1998. Catherine has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cathy Ann Brooks | Cathy Brooks
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Catherine Ann Brooks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 23, 2024 - Present
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
Office #1: 9 Greenway Plaza Suite 3120, Houston, TX 77046BD
CRD#: 6950
Houston, TX
Past
October 18, 2010 - December 12, 2023
FLAGSTAR ADVISORS
BD
CRD#: 104233
HOUSTON, TX
Past
April 7, 2008 - July 23, 2009
AMERICAN GENERAL DISTRIBUTORS, INC.
BD
CRD#: 37449
HOUSTON, TX
Past
May 18, 2000 - April 15, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
July 29, 1999 - March 29, 2000
FROST BROKERAGE SERVICES, INC.
BD
CRD#: 17465
SAN ANTONIO, TX
Past
September 21, 1998 - May 8, 1999
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/23/2024)
RR
Alaska(2/23/2024)
RR
Arizona(2/23/2024)
RR
Arkansas(2/23/2024)
RR
California(2/23/2024)
RR
Colorado(2/23/2024)
RR
Connecticut(2/23/2024)
RR
Delaware(2/23/2024)
RR
District of Columbia(2/23/2024)
RR
Florida(2/23/2024)
RR
Georgia(2/23/2024)
RR
Hawaii(2/23/2024)
RR
Idaho(2/23/2024)
RR
Illinois(2/23/2024)
RR
Indiana(2/23/2024)
RR
Iowa(2/23/2024)
RR
Kansas(2/23/2024)
RR
Kentucky(2/23/2024)
RR
Louisiana(2/23/2024)
RR
Maryland(2/23/2024)
RR
Massachusetts(2/23/2024)
RR
Michigan(2/23/2024)
RR
Minnesota(2/23/2024)
RR
Mississippi(2/23/2024)
RR
Missouri(2/23/2024)
RR
Montana(2/23/2024)
RR
Nevada(2/23/2024)
RR
New Hampshire(2/23/2024)
RR
New Jersey(2/23/2024)
RR
New Mexico(2/23/2024)
RR
New York(2/23/2024)
RR
North Carolina(2/23/2024)
RR
Ohio(2/26/2024)
RR
Oklahoma(2/23/2024)
RR
Oregon(2/23/2024)
RR
Pennsylvania(2/23/2024)
RR
Puerto Rico(2/23/2024)
RR
Rhode Island(2/23/2024)
RR
South Carolina(2/23/2024)
RR
South Dakota(2/23/2024)
RR
Tennessee(2/23/2024)
RR
Texas(2/23/2024)
RR
Utah(2/23/2024)
RR
Virgin Islands(2/23/2024)
RR
Virginia(2/23/2024)
RR
Washington(2/23/2024)
RR
West Virginia(2/23/2024)
RR
Wisconsin(2/23/2024)
RR
Wyoming(2/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP
CRD#: 6950 / SEC#: 801-68820, 8-18971
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
6750 Poplar Avenue Suite 300, Memphis, TN 38138
Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Phone number
(901) 260-6800
Established
Tennessee since 03/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 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.
