Caitlin W. Mclean
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.
Caitlin Whitty Mclean was a registered financial professional .
Caitlin is a previously registered financial professional and started their career in finance in 2010. Caitlin had worked at 3 firms and has passed the Series 63, SIE 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
Experience
October 27, 2011 - September 21, 2016
SHERMAN & COMPANY LLC
August 30, 2010 - September 16, 2011
RAYMOND JAMES & ASSOCIATES, INC.
July 23, 2010 - August 13, 2010
B. RILEY WEALTH MANAGEMENT
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
SHERMAN & COMPANY LLC
CRD#: 155575 / SEC#: , 8-68725
Contact information
FINRA licenses (23 States and Territories)
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.
