Cathy H. Reese
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.
Cathy Harris Reese, who also goes by Cathy Adele Harris, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 2004. Cathy had worked at 7 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, 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
July 23, 2013 - May 6, 2020
EMPIRE ASSET MANAGEMENT COMPANY
February 6, 2012 - June 21, 2013
R. F. LAFFERTY & CO., INC.
October 21, 2011 - February 17, 2012
KERN, SUSLOW SECURITIES, INC.
August 16, 2010 - October 14, 2010
SOUTHRIDGE INVESTMENT GROUP LLC
October 21, 2009 - May 24, 2010
FALCON RESEARCH, INC.
May 9, 2006 - January 18, 2008
NEWOAK CAPITAL MARKETS LLC
October 5, 2004 - April 28, 2006
CAPITAL GROWTH FINANCIAL, LLC
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
Series 7TO
Date: 8/13/2022
General Securities Representative ExaminationCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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