Catherine L. Lien
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 Lee Lien, who also goes by Catherine Lien, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2011. Catherine had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2013 - March 29, 2019
MCNALLY CAPITAL SECURITIES, LLC
August 1, 2011 - July 10, 2013
J.P. MORGAN SECURITIES LLC
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
MCNALLY CAPITAL SECURITIES, LLC
CRD#: 159725 / SEC#: , 8-69010
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY CAPITAL, LLC | SOLE MEMBER | |
| LENART, BRIAN DOUGLAS | CHIEF COMPLIANCE OFFICER, AMLCO, EXECUTIVE REPRESENTATIVE, CFO, FINOP, PFO/POO | 736107 |
Red Flags
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