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Catherine L. Martin

PARALEL DISTRIBUTORS
Boston, MA 02111-2641
Some features on this profile are disabled
CRD#: 5864101
CM

Professional summary

Catherine Lindsay Martin, who also goes by Catherine L Martin, Katie Martin, is a registered financial professional currently at PARALEL DISTRIBUTORS located in Boston, Massachusetts.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2011. Catherine has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine L Martin | Katie Martin

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Lindsay Martin'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®
None

Experience

Current

December 16, 2024 - Present

PARALEL DISTRIBUTORS

Office #1: One Lincoln Street Suite 1700, Boston, MA 02111-2641
BD
CRD#: 316115
Boston, MA
Past

July 24, 2018 - March 1, 2021

CANTELLA & CO., INC.

RIA
CRD#: 13905
Malden, MA
Past

July 18, 2018 - March 1, 2021

CANTELLA & CO., INC.

BD
CRD#: 13905
Malden, MA
Past

February 10, 2016 - July 17, 2018

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
WALTHAM, MA
Past

May 11, 2015 - July 17, 2018

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

January 27, 2014 - May 13, 2015

OSAIC FA, INC.

BD
CRD#: 3978
CONCORD, NH
Past

December 11, 2012 - May 13, 2015

OSAIC FS, INC.

BD
CRD#: 3870
CONCORD, NH
Past

January 21, 2011 - December 4, 2012

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/28/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 2/20/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/20/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/20/2024
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PARALEL DISTRIBUTORS
PARALEL DISTRIBUTORS | PARALEL DISTRIBUTORS LLC

CRD#: 316115 / SEC#: , 8-70771

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1700 Broadway Suite 1850, Denver, CO 80290
Mailing Address
1700 Broadway Suite 1850, Denver, CO 80290
Phone number
(303) 378-0364
Established
Delaware since 06/21/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PARALEL TECHNOLOGIES, LLCDIRECT OWNER
MAY, JEREMY OPPEGARDCEO/FOUNDER2744563
SWENSON, BRADLEY JOHNPRESIDENT/CCO/FINOP2666663

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.

Company Information

PARALEL DISTRIBUTORS

CRD#: 316115Boston, MA 02111-2641

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