Best Investors Account Sign in

Caterina F Ferraro

D.A. Davidson & Co.

Seattle, WA

Seattle, WA

Claim This Profile
Current Employers
D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-09-28
  • WA RA
    APPROVED
    Since 2023-09-28

Branch Locations

Columbia Center, 701 5Th Avenue Suite 4050, Seattle, WA 98104 • United States

Seattle, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Santa Barbara CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Santa Barbara CA 11/2016 09/2023
D.A. Davidson & Co. Seattle WA 09/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-10-30
S63 Uniform Securities Agent State Law Examination 2002-02-28
  • S65 Uniform Investment Adviser Law Examination
    2002-10-30
  • S63 Uniform Securities Agent State Law Examination
    2002-02-28
Other Names
  • Katy Ferraro

View on SEC IAPD

Other Firms

KLAKNA GROUP LTD
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC
MADISON PARK CAPITAL ADVISORS, LLC
ETERNAL DIGITAL FUND LTD.
FREESTONE CAPITAL MANAGEMENT, LLC
CEDAR RIVER CAPITAL, LLC
ROBERT A. UNDERHILL P.C.
SITKA PACIFIC CAPITAL MANAGEMENT, LLC

Other Investors

JOHN DAVID ALBERG
JEFFREY ALAN MULLEN
CHRIS DARRYL FEATHERSTONE
WILLIAM LEE REECE
ANDREW JAMES BARFOOT
JONATHAN JACOB WITTLIN
MATTHEW ALLAN TIGERT
JENNA M BRAZILE

Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

More in Seattle, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor