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CATHERINE ELIZABETH MASSIE
CATHERINE ELIZABETH OBRIEN, KATIE ELIZABETH OBRIEN
CRD#: 3157852
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 720 E Wisconsin Ave
Milwaukee, WI 53202
Milwaukee, WI 53202
0
Disclosures
25
Years of Experience
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State Registrations
B
Wisconsin 9/19/2011
IA
Wisconsin 9/19/2011
SRO Registrations
B
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IA
Registered with this firm since 9/19/2011
B
Registered with this firm since 9/19/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/31/2002 - 07/20/2011 | WAUKESHA, WI | |
B | 07/31/2002 - 07/20/2011 | WAUKESHA, WI | |
B | 04/03/2001 - 07/31/2002 | MILWAUKEE, WI | |
B | 03/09/1999 - 03/15/2001 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.