Catherine A. Molnar
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 Ann Molnar, who also goes by Catherine Ann Gleixner, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1999. Catherine had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2006 - July 7, 2014
LNW
March 17, 2005 - November 7, 2005
S & Y ASSET MANAGEMENT LLC
January 31, 2005 - November 7, 2005
STONE & YOUNGBERG LLC
January 28, 2005 - November 7, 2005
STONE & YOUNGBERG LLC
January 10, 2003 - November 2, 2004
UBS FINANCIAL SERVICES INC.
October 20, 1999 - January 22, 2003
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
LNW
CRD#: 107341 / SEC#: 801-36445
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
LNW
CRD#: 107341 / SEC#: 801-36445
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,068 |
| AUM (Assets Under Management) | $ 12,230,221,045 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/20/2024 | ||
| 01/25/2024 | ||
| 02/24/2023 |
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.
