Catherine Clark, financial advisor Chicago IL
72 score

Catherine Clark

CRD Number: 4491208
Current Firm: Charles Schwab & Company, Inc.

Catherine Clark (CRD# 4491208) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Chicago, IL and has over 14 years of experience in the finance industry. Catherine Clark has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Charles Schwab & Company, Inc. Chicago, IL Aug 2015 - Current 1
Charles Schwab Bank Chicago, IL Aug 2015 - Current 1
Cuna Brokerage Services, Inc. Waverly, IA Aug 2013 - Jul 2015 1
Teachers Credit Union St John, IN Aug 2013 - Jun 2015 1
Unemployed Chicago, IL Feb 2012 - Aug 2013 1
Linsco/private Ledger Chicago, IL Apr 2006 - Feb 2012 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2002
S65 NASAA Investment Advisors Law Examination Apr 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Catherine M. Clark
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
72

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