Catherine Thomassen Jackson
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 Thomassen Jackson, who also goes by Catherine Thomassen, Katie Thomassen Jackson, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2003. Catherine had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 25 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 8, 2008 - July 28, 2025
SAXONY SECURITIES, INC.
February 1, 2007 - June 9, 2008
JEFFERIES LLC
September 29, 2006 - January 18, 2007
DASH FINANCIAL TECHNOLOGIES LLC
June 8, 2004 - September 29, 2006
NANDRA GROUP, INC.
January 16, 2003 - April 27, 2004
DIRECT BROKERAGE, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 25
Date: 6/7/2005
NYSE Trading Assistant ExaminationCurrent Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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