Cathy W. Pierce
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 Williams Pierce, who also goes by Kathy Williams Pierce, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 2007. Cathy had worked at 1 firm and has passed the Series 63, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2007 - February 25, 2010
M1 ENERGY CAPITAL SECURITIES, 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 62
Date: 8/20/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
M1 ENERGY CAPITAL SECURITIES, LLC
CRD#: 127298 / SEC#: , 8-65980
Contact information
Documents
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.
