Catharine A. Elliott
Professional summary
Catharine Anne Elliott, who also goes by Catherine Anne Elliott, Kate Elliott, is a registered financial professional currently at FOCUS SECURITIES LLC located in Gainesville, Virginia.
Catharine is registered as a RR (Registered Representative) and started their career in finance in 2007. Catharine has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catharine Anne Elliott's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 29, 2010 - Present
FOCUS SECURITIES LLC
Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155July 23, 2007 - March 5, 2010
WM. H. MURPHY & CO., 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
(5/14/2025)
(3/24/2025)
(3/29/2010)
(2/18/2026)
(3/12/2025)
(2/16/2024)
(3/25/2026)
(5/12/2025)
(5/27/2025)
(1/17/2024)
(5/14/2025)
(2/2/2026)
(5/8/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FOCUS SECURITIES LLC
CRD#: 150589 / SEC#: , 8-68273
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS CAPITAL ACQUISITION LLC | OWNER | |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER |
Red Flags
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