Catherine Nettles
Catherine Nettles is a registered investment advisor at Guggenheim Investments, based in The Woodlands, TX, with 20 years of industry experience. Catherine is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 107 clients with $8B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
The Woodlands, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Catherine owns a rental property in Chicago, IL, since 2014. She spends no time on this activity during business hours.
Employment History
Current Registrations
Guggenheim Investments
Guggenheim Funds Distributors, LLC
Guggenheim Funds Distributors, LLCBroker
Previous Registrations
Claymore Advisors, LLC
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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