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Catherine Sharp Cary

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chattanooga, TN

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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_RES 2012-12-05
TN RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2012-12-05
  • TN RA
    APPROVED
    Since 2009-06-01

Branch Locations

2 Union Sq, Chattanooga, TN 37402 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chattanooga TN 05/2009 Present
Bank Of America, Na Chattanooga TN 12/2009 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-17
  • S66 Uniform Combined State Law Examination
    2003-10-17
Other Names
  • Cathy Elizabeth Sharp
  • Catherine Elizabeth Sharp
  • Catherine Elizabeth Sharp
  • Catherine Elizabeth Sharp
  • Catherine Sharp Smith
  • Catherine Cary

View on SEC IAPD

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