Cathryn O. Budd
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.
Cathryn Oneill Budd was a registered financial professional .
Cathryn is a previously registered financial professional and started their career in finance in 2015. Cathryn had worked at 3 firms and has passed the Series 66, 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
November 10, 2021 - December 31, 2022
ROGER BUDD INVESTMENT MANAGEMENT, LLC
January 14, 2019 - December 12, 2019
JANNEY MONTGOMERY SCOTT LLC
January 14, 2019 - December 12, 2019
JANNEY MONTGOMERY SCOTT LLC
July 6, 2015 - January 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2015 - January 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ROGER BUDD INVESTMENT MANAGEMENT, LLC
CRD#: 298525 / SEC#:
Contact information
Red Flags
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