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Catherine L Smith

Morgan Stanley

Portsmouth, NH

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-26
ME RA APPROVED 2022-11-21
NH RA APPROVED 2022-11-21
  • TX RA
    APPROVED_RES
    Since 2023-01-26
  • ME RA
    APPROVED
    Since 2022-11-21
  • NH RA
    APPROVED
    Since 2022-11-21

Branch Locations

1 Harbour Place Suite 125, Portsmouth, NH 03801 • 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
Ubs Financial Services Inc. Portland ME 02/2010 11/2022
Morgan Stanley Smith Barney Llc Portsmouth NH 11/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-15
  • S66 Uniform Combined State Law Examination
    2003-05-15
Other Names
  • Catherine L Smith
  • Cathy Smith
  • Catherine L. L Smith

View on SEC IAPD

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Other Offices

CHARTER OAK CAPITAL MANAGEMENT · PORTSMOUTH, NH
NVEST FINANCIAL, LLC · PORTSMOUTH, NH
DAVID WENDELL ASSOCIATES, INC. · PORTSMOUTH, NH
KWM FINANCIAL LLC · PORSTMOUTH, NH
GOLDEN FINANCIAL SERVICES · PORTSMOUTH, NH
ESTATE PLANNERS OF NEW ENGLAND, LLC · PORTSMOUTH, NH
PISCATAQUA RESEARCH INC. · PORTSMOUTH, NH
PATRIOT ADVISORY GROUP · PORTSMOUTH, NH

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