Catherine C. Espinoza
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 Carrillo Espinoza, who also goes by Catherine Carrillo, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1999. Catherine had worked at 2 firms and has passed the Series 63, Series 99TO, 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
September 8, 2022 - December 12, 2023
SOCIAL INVSTR
February 10, 1999 - July 12, 2021
USAA INVESTMENT SERVICES COMPANY
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 4/24/2024
Operations Professional ExaminationCurrent Firm
SOCIAL INVSTR
CRD#: 309923 / SEC#: , 8-70552
Contact information
Documents
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.
