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CT

Catherine E. Turcins

EQUUS FINANCIAL CONSULTING LLC
Marblehead, MA 01945
Some features on this profile are disabled
CRD#: 4426868
CT

Professional summary

Catherine Ellison Turcins, who also goes by Catherine Ellison Mcmanmon, is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in Marblehead, Massachusetts.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2001. Catherine has worked at 3 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Ellison Mcmanmon

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 Ellison Turcins'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®
None

Experience

Current

March 26, 2019 - Present

EQUUS FINANCIAL CONSULTING LLC

Office #1: 123 Pleasant St., Suite 202, Marblehead, MA 01945
BD
CRD#: 131449
Marblehead, MA
Past

September 18, 2003 - March 4, 2011

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
BOSTON, MA
Past

January 17, 2003 - June 3, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 10, 2001 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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
Connecticut
(4/1/2019)
RR
Massachusetts
(3/26/2019)
RR
New Hampshire
(4/1/2019)
RR
New York
(4/1/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/26/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/25/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

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

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 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#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449Marblehead, MA 01945

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