Catherine M. Nolan
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 Mary Nolan was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1998. Catherine had worked at 6 firms and has passed the Series 63, SIE 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
February 26, 2008 - January 8, 2021
ALPS DISTRIBUTORS, INC.
December 1, 2005 - April 6, 2006
FRANKLIN DISTRIBUTORS, LLC
July 5, 2001 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 1, 2001 - February 14, 2001
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
October 2, 1998 - January 1, 2001
PERSHING LLC
August 11, 1998 - October 9, 1998
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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