JULIE-ANNE LOUISE CATLING is currently employed as a Broker and/or Investment Adviser at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. located at 2200 - 609 GRANVILLE STREET, VANCOUVER, BC, , V7Y 1H2.
JULIE-ANNE LOUISE CATLING has worked at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. since March 16, 2017
Disclosure History
JULIE-ANNE LOUISE CATLING has 1 Disclosure Event(s).
Date: July 23, 1999 Category: Regulatory Initiated By: INVESTMENT INDUSTRY REGULATORY AUTHORITY OF CANADA (FORMERLY INVESTMENT DEALERS ASSOCIATION OF CANADA) Allegations: JULIE-ANNE'S LICENSE WAS SUSPENDED DUE TO NON-COMPLETION OF HER POST-LICENSING REQUIREMENT (THE PROFESSIONAL FINANCIAL PLANNING COURSE) BY THE REQUIRED DEADLINE. Resolution: Other SanctionDetails: Sanctions: Suspension Sanction Details: REGISTRANT HAD FAILED TO MEET THE DEADLINE FOR COMPLETING THE PROFESSIONAL FINANCIAL PLANNING COURSE. HER SUSPENSION PERIOD WAS FROM JUNE 23, 1999 TO JANUARY 4, 2000. UPON RECEIPT OF THE REGISTRANTS SUCCESSFUL COMPLETION OF THE PROFESSIONAL FINANCIAL PLANNING COURSE, THE IDA-BC REINSTATED THE REGISTRATION EFFECTIVE JANUARY 5, 2000.
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