Catherine Barker Smith

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → Present
  Raymond James Financial Services, Inc.
  Madison, NC
• 06/2016 → Present
  Raymond James Financial Services Advisors Inc.
  Madison, NC
• 06/2016 → Present
  Living Stone, Llc
  Madison, NC

Previous Registrations

• 2007-12-14 → 2016-06-13
  Edward Jones
  Madison, NC

Other Businesses

(1)Name of Business: Living Stone, LLC Address: 206 S Market St, Madison, NC, 27025, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/21/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor/ owner (2)Name of Business: Proverbs 3: 5 & 6 LLC Address: 206 S Market St, Madison, NC, 27025, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 06/10/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I own the office where the branch is located. There is no other business in the building. The Branch pays a lease to me through a LLC account set up in the branch. no responsibilities or time involved

Exams

• S66 Uniform Combined State Law Examination
  2007-12-12
• S63 Uniform Securities Agent State Law Examination
  1998-01-08

Other Names

• Cathy Smith
• Catherine Smith
• Catherine Barker Smith
• Catherine B. Smith