Catherine Jackson
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 Jackson, who also goes by Catherine M Jackson, Catherine Mary Jackson, Catherine M Sullivan, Catherine Mary Sullivan, Catherine Sullivan, Cathy Sullivan, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2007. Catherine had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2015 - December 1, 2016
VOYA FINANCIAL ADVISORS, INC.
February 20, 2015 - December 1, 2016
VOYA FINANCIAL ADVISORS, INC.
August 29, 2012 - November 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2012 - November 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 2011 - July 17, 2012
MORGAN STANLEY
April 22, 2011 - July 17, 2012
MORGAN STANLEY
November 4, 2008 - August 10, 2010
HAISMAN WEALTH MANAGEMENT, INC.
August 28, 2008 - December 31, 2008
SECURITIES SERVICE NETWORK, LLC
August 17, 2007 - July 23, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2007 - July 23, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 18, 2007 - July 26, 2007
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
