Katherine Mccarthy Spiegel

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2021-08-31
UT	RA	APPROVED	2021-08-26
MT	RA	APPROVED	2021-07-27
CA	RA	APPROVED	2021-07-06
TX	RA	APPROVED	2019-04-24
CT	RA	APPROVED	2019-04-09

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boston	MA	06/2018	Present
Pnc Financial Services	East Brunswick	NJ	06/2017	09/2017
Town Of Chatham Parks And Recreation	Chatham	MA	06/2016	09/2016
Hobart And William Smith Colleges	Geneva	NY	01/2018	06/2018
Hobart And William Smith Colleges	Geneva	NY	09/2016	06/2017
Hobart And William Smith Colleges	Geneva	NY	09/2017	06/2018

06/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA
06/2017 → 09/2017

Pnc Financial Services

East Brunswick, NJ
06/2016 → 09/2016

Town Of Chatham Parks And Recreation

Chatham, MA
01/2018 → 06/2018

Hobart And William Smith Colleges

Geneva, NY
09/2016 → 06/2017

Hobart And William Smith Colleges

Geneva, NY
09/2017 → 06/2018

Hobart And William Smith Colleges

Geneva, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-04-08

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