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Catherine Joan Clarke is a financial advisor professional located in Elmsford, NY. They specialize in financial advisory. With over 16 years of experience, they bring deep expertise to every client.
Catherine Joan Clarke - Mml Investors Services, Llc holds an active professional license (FINRA CRD) for your protection.
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Catherine Joan Clarke operates MML Investors Services, LLC, a financial advisory firm based in Elmsford, NY. With 16 years in the financial services industry, Clarke brings substantial experience to client relationships. The firm holds a FINRA CRD license (number 5731392), which governs securities and investment advisory activities. Clarke works with clients seeking professional guidance on investment matters and financial planning within the regulatory framework established by FINRA oversight.
A FINRA CRD license indicates that Catherine Joan Clarke is registered with the Financial Industry Regulatory Authority and operates under FINRA's regulatory oversight. This registration means the advisor is authorized to engage in securities and investment advisory services and must comply with FINRA's rules, conduct standards, and continuing education requirements. FINRA maintains disciplinary records and conducts examinations to ensure compliance. Clients can verify registration details and any disciplinary history through FINRA's BrokerCheck system, providing transparency into the advisor's background and qualifications.