Catherine A. Shoemaker
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 Alyssa Shoemaker, who also goes by Catherine Alyssa Natsch, Cat Natsch, Catherine Natsch, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2010. Catherine had worked at 4 firms and has passed the Series 66, 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
January 29, 2018 - December 10, 2019
TD AMERITRADE, INC.
January 29, 2018 - December 10, 2019
TD AMERITRADE, INC.
February 17, 2017 - April 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 17, 2017 - February 26, 2018
SCOTTRADE, INC.
October 12, 2016 - February 6, 2017
FIRST STATE FINANCIAL MANAGEMENT, INC.
October 12, 2016 - February 6, 2017
FIRST STATE FINANCIAL MANAGEMENT, INC.
April 14, 2015 - October 13, 2016
SCOTTRADE INVESTMENT MANAGEMENT
November 24, 2010 - October 13, 2016
SCOTTRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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