Home  >  BrightScope Advisor Pages  >  Cathryn Ann Connell

Information

Other Names: Cathryn Ann Gallery
Firm:
Type: Registered Representative
Description

Cathryn Connell is a financial professional at B. C. Ziegler and Company, a broker-dealer with 200 registered representatives nationwide. Cathryn has held an industry securities registration for 25 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Cathryn Ann Connell has not answered any questions on Financial Q&A.

Top Guides

Cathryn Ann Connell has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Other Pooled Investment Vehicles
Other

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
B C Ziegler and Company 6 years, 4 months Dec 2007 - Present
Cabrera Capital Markets, Inc. 1 year, 11 months Jan 2006 - Dec 2007
Rbc Dain Rauscher Inc. 1 year, 10 months Feb 2004 - Dec 2005
William R. Hough & Co. 12 years, 3 months Nov 1991 - Feb 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/27/2009, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
05/27/2009
08/09/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 04/11/1986
General Securities Representative Examination Series 7 02/15/1986

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees