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CA

Catherine C. Amacher

ETC BROKERAGE SERVICES
Dallas, TX 75240
Some features on this profile are disabled
CRD#: 3168184
CA

Professional summary

Catherine Combs Amacher, CFP®, who also goes by Cat Davies, Catherine Combs Davies, Catherine Davies, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 1999. Catherine has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 6, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cat Davies | Catherine Combs Davies | Catherine Davies

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Combs Amacher's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

January 14, 2024 - Present

ETC BROKERAGE SERVICES, LLC

Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240
BD
CRD#: 145276
Dallas, TX
Past

May 7, 2019 - May 18, 2023

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
CHICAGO, IL
Past

March 27, 2019 - May 18, 2023

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

August 22, 2014 - March 8, 2019

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
WESTLAKE, TX
Past

August 13, 2014 - March 8, 2019

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX
Past

June 25, 2008 - July 18, 2014

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
PLANO, TX
Past

May 20, 2008 - July 18, 2014

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PLANO, TX
Past

February 10, 1999 - February 1, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
Colorado
(1/14/2024)
RR
Florida
(1/14/2024)
RR
Ohio
(1/15/2024)
RR
Texas
(1/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/21/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/16/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/14/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/28/2011
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/21/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/10/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

EB
ETC BROKERAGE SERVICES, LLC
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: , 8-67719

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240
Mailing Address
1 Equity Way, Westlake, OH 44145
Phone number
(877) 403-0369
Established
Connecticut since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DESICH, JEFFREY ALANDIRECTOR2771522
DESICH, RICHARD ANTHONY JRDIRECTOR2634014
AMACHER, CATHERINE COMBSCEO3168184
FAZEL, MUSTAFACHIEF COMPLIANCE OFFICER2198857
MOORE, JONATHAN KIELPRESIDENT, COO2312492
TRUKSHANIN, MIKHAILCFO, PFO7436256
TRUKSHANIN, MIKHAILFINOP7436256

Disclosures

Regulatory Event1

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.

Company Information

ETC BROKERAGE SERVICES, LLC

CRD#: 145276Dallas, TX 75240

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