Brian J. Cathcart
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.
Brian Joseph Cathcart, who also goes by Brian J Cathcart, Brian Cathcart, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1980. Brian had worked at 7 firms and has passed the Series 65, Series 63 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
August 9, 2018 - February 8, 2021
WEALTHMARK, LLC
July 25, 2016 - July 26, 2018
NBC PARDNERS
October 13, 2010 - February 27, 2017
SMART PORTFOLIOS, LLC
March 1, 1992 - January 11, 2006
ICM ASSET MANAGEMENT INC
February 10, 1989 - January 10, 1992
SPRING STREET SECURITIES, INC.
December 27, 1982 - July 29, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
October 24, 1980 - January 17, 1983
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
WEALTHMARK, LLC
CRD#: 144948 / SEC#: 801-121353
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
WEALTHMARK, LLC
CRD#: 144948 / SEC#: 801-121353
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 402 |
| AUM (Assets Under Management) | $ 114,000,000 |
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.
