Catherine D. Arnold
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 D Arnold, CFP®, who also goes by Catie Arnold, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2007. Catherine had worked at 3 firms and has passed the Series 66 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
Start date: 2017
Experience
June 11, 2021 - January 23, 2024
WHITNEY & COMPANY
April 29, 2011 - May 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2011 - May 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2007 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2007 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WHITNEY & COMPANY
CRD#: 117307 / SEC#: 801-60710
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
WHITNEY & COMPANY
CRD#: 117307 / SEC#: 801-60710
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,744 |
| AUM (Assets Under Management) | $ 1,150,646,873 |
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.
