Cathy Williams Pierce
Professional Summary
Cathy Williams Pierce, who also goes by Kathy Williams Pierce, was a registered financial advisor. Cathy was a previously registered financial professional and started their career in finance 2007 - 2010. Cathy had worked at 1 firm and has passed the Series 63, Series 62 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathy Williams Pierce
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
M1 ENERGY CAPITAL SECURITIES, LLC | MEZZANINE ENERGY CAPITAL SECURITIES, LLC
Contact Information
Established
Delaware since 01/01/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Aug 2007Series 22 — Direct Participation Programs Representative Examination
Passed Apr 2007About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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