Catherine M. Huxford
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 M Huxford, who also goes by Catherine M Finlay, Catherine Marie Finlay, Catherine Marie Fiorillo, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2003. Catherine had worked at 4 firms and has passed the Series 63, 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
September 6, 2016 - October 26, 2016
LPS CAPITAL LLC
November 6, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 16, 2009 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2003 - June 20, 2006
DAVID LERNER ASSOCIATES, 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
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
