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Cathy Ann Dawson

Morgan Stanley

Baltimore, MD

CRD 2857689

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-15
MD RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-04-15
  • MD RA
    APPROVED
    Since 2009-06-01

Branch Locations

1201 Wills Street Suite 700, Baltimore, MD 21231 • 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
Citigroup Global Markets Inc. Baltimore MD 06/2006 Present
Morgan Stanley Baltimore MD 06/2009 Present
Previous Registrations
Other Businesses

*392904 - Guardian; Investment related - Yes; Jan 2020; During business hours: 0; After business hours: 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-27
  • S66 Uniform Combined State Law Examination
    2007-10-27
Other Names
  • Cathy Ann Dewese
  • Cathy Ann Munoz

View on SEC IAPD

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