Catherine M. Montana
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 Mary Montana, who also goes by Catherine Mary Esposito, Catherine Montana, Catherine Mary Wachtell, Catherine Mary Watchtell, Catherine Mary Weschke, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1972. Catherine had worked at 12 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2012 - December 4, 2013
TRIDENT PARTNERS LTD.
March 27, 2003 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
January 27, 2000 - April 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 2, 1999 - February 18, 2000
TASIN & COMPANY, INC.
August 19, 1994 - July 30, 1999
TASIN & COMPANY, INC.
August 2, 1993 - August 30, 1994
DUNHILL EQUITIES, INC.
July 28, 1989 - July 30, 1993
MORGAN STANLEY DW INC.
December 14, 1979 - August 12, 1989
THOMSON MCKINNON SECURITIES INC.
September 17, 1979 - December 13, 1979
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
April 19, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
June 29, 1976 - March 5, 1977
HOPPIN, WATSON, INC.
March 22, 1972 - August 10, 1974
STEINER, ROUSE & CO., 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
PC
Date: 1/11/1980
AMEX Put and Call ExamSeries 1
Date: 4/8/1968
Registered Representative ExaminationCurrent Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
