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Cathy Lee Reed

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Georgetown, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-05-31
  • TX RA
    APPROVED
    Since 2017-05-31

Branch Locations

501 S Austin Ave, Georgetown, TX 78626 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Austin TX 10/2012 05/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin TX 05/2017 Present
Bank Of America, N.A. Austin TX 07/2017 Present
Previous Registrations
  • 2012-10-01 → 2017-05-24
    J.P. Morgan Securities Llc
    Austin, TX
  • 2009-08-26 → 2012-10-01
    Chase Investment Services Corp.
    Austin, TX
    Round Rock, TX
    Round Rock, TX
    Round Rock, TX
  • 2004-04-01 → 2009-07-21
    Lpl Financial Llc
    Cedar Park, TX
  • 1996-11-04 → 2003-01-13
    Morgan Stanley Dw Inc.
    Lubbock, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-11-08
S65 Uniform Investment Adviser Law Examination 1996-11-08
  • S63 Uniform Securities Agent State Law Examination
    1996-11-08
  • S65 Uniform Investment Adviser Law Examination
    1996-11-08
Other Names
  • Cathy Lee Carter
  • Cathy Lee Reed
  • Cathy Reed

View on SEC IAPD

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