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Catherine Kimbell Maddox

Morgan Stanley

Denver, CO

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-27
CO RA APPROVED 2022-03-21
  • TX RA
    APPROVED
    Since 2023-02-27
  • CO RA
    APPROVED
    Since 2022-03-21

Branch Locations

1550 Market Street Suite 600, Denver, CO 80202 • 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 Smith Barney Llc Denver CO 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Denver, CO
Other Businesses

*463695- Trust; Investment related -Yes; Littleton, Colorado; Trust; Successor Role; 11/2021; During business hours: 0; After business hours: 0;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-19
S63 Uniform Securities Agent State Law Examination 2003-06-25
  • S65 Uniform Investment Adviser Law Examination
    2022-03-19
  • S63 Uniform Securities Agent State Law Examination
    2003-06-25
Other Names
  • Katie Busi
  • Catherine Kimbell Busi
  • Catherine Kimbell Busi
  • Catherine Kimbell Sterling

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

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