Catherine C. Webb
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 Cerise Webb, who also goes by Catherine C Webb Ms, Catherine C Webb, Catherine Webb, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2005. Catherine had worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2020 - January 10, 2024
FIDELITY BROKERAGE SERVICES LLC
January 28, 2013 - July 18, 2013
NATIONAL FINANCIAL SERVICES LLC
July 1, 2009 - August 14, 2012
STRATEGIC ADVISERS LLC
January 1, 2008 - August 13, 2012
FIDELITY BROKERAGE SERVICES LLC
November 7, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
December 11, 2006 - September 17, 2007
STRATEGIC ADVISERS LLC
November 9, 2005 - September 17, 2007
FIDELITY BROKERAGE SERVICES LLC
March 25, 2005 - November 9, 2005
FIDELITY DISTRIBUTORS COMPANY 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: 8/31/2020
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
