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Catherine Jeanette Rachford

Morgan Stanley

San Francisco, CA

San Francisco, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • CA RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

San Francisco, CA • United States

555 California Street Pwm, San Francisco, CA 94104 • 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
Morgan Stanley San Francisco CA 06/2009 Present
Previous Registrations
  • 2009-04-22 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Francisco, CA
  • 2002-07-26 → 2009-05-05
    Ubs Financial Services Inc.
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    Weehawken, NJ
  • 2001-11-27 → 2002-07-26
    Banc Of America Securities Llc
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-15
S63 Uniform Securities Agent State Law Examination 2000-09-07
  • S66 Uniform Combined State Law Examination
    2001-11-15
  • S63 Uniform Securities Agent State Law Examination
    2000-09-07

View on SEC IAPD

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