CO
Catherine M. O'connell Schuh
IMST DISTRIBUTORS
Portland, ME 04101
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CRD#: 5737856
CO
Professional summary
Catherine M O'connell Schuh, who also goes by Catherine M O'connell, Catie O'connell, Catie Schuh, Catherine Schuh, is a registered financial professional currently at IMST DISTRIBUTORS, LLC located in Portland, Maine.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2013. Catherine has worked at 2 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Catherine M O'connell | Catie O'connell | Catie Schuh | Catherine Schuh
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Catherine M O'connell Schuh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 4, 2023 - Present
IMST DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 130745
Portland, ME
Past
March 4, 2013 - June 6, 2022
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/4/2023)
RR
Alaska(8/4/2023)
RR
Arizona(8/4/2023)
RR
Arkansas(8/4/2023)
RR
California(8/4/2023)
RR
Colorado(8/4/2023)
RR
Connecticut(8/4/2023)
RR
Delaware(8/4/2023)
RR
District of Columbia(8/4/2023)
RR
Florida(8/4/2023)
RR
Georgia(8/4/2023)
RR
Hawaii(8/4/2023)
RR
Idaho(8/4/2023)
RR
Illinois(8/4/2023)
RR
Indiana(8/4/2023)
RR
Iowa(8/4/2023)
RR
Kansas(8/4/2023)
RR
Kentucky(8/4/2023)
RR
Louisiana(8/4/2023)
RR
Maine(8/4/2023)
RR
Maryland(8/4/2023)
RR
Massachusetts(8/4/2023)
RR
Michigan(8/4/2023)
RR
Minnesota(8/4/2023)
RR
Mississippi(8/4/2023)
RR
Missouri(8/4/2023)
RR
Montana(8/4/2023)
RR
Nebraska(8/4/2023)
RR
Nevada(8/4/2023)
RR
New Hampshire(8/4/2023)
RR
New Jersey(8/4/2023)
RR
New Mexico(8/4/2023)
RR
New York(8/4/2023)
RR
North Carolina(8/4/2023)
RR
North Dakota(8/4/2023)
RR
Ohio(8/6/2023)
RR
Oklahoma(8/4/2023)
RR
Oregon(8/4/2023)
RR
Pennsylvania(8/4/2023)
RR
Puerto Rico(8/4/2023)
RR
Rhode Island(8/4/2023)
RR
South Carolina(8/4/2023)
RR
South Dakota(8/4/2023)
RR
Tennessee(8/4/2023)
RR
Texas(8/4/2023)
RR
Utah(8/4/2023)
RR
Vermont(8/4/2023)
RR
Virginia(8/4/2023)
RR
Washington(8/4/2023)
RR
West Virginia(8/4/2023)
RR
Wisconsin(8/4/2023)
RR
Wyoming(8/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
IMST DISTRIBUTORS, LLC
FORESIDE DISTRIBUTION PARTNERS, LLC | PNC FUND DISTRIBUTOR, LLC | PNC FUND DISTRIBUTOR, INC. | MERCANTILE INVESTMENT SERVICES, INC. | IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
IMST DISTRIBUTORS, LLC
CRD#: 130745Portland, ME 04101TRUST BUT VERIFY
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