Catherine A. Nelson
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 Anne Nelson, who also goes by Cat Nelson, Catherine Nelson, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2011. Catherine had worked at 4 firms and has passed the Series 63, SIE 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
October 20, 2015 - November 9, 2015
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
November 10, 2014 - September 17, 2015
CABOT LODGE SECURITIES LLC
May 2, 2013 - June 9, 2014
BLUEROCK CAPITAL MARKETS LLC
February 16, 2011 - March 5, 2013
INLAND SECURITIES CORPORATION
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
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
CRD#: 157625 / SEC#: , 8-68856
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
