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Catherine C Hollifield

Morgan Stanley

Riverside, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-03-10
CA RA APPROVED 2019-10-03
  • TX RA
    APPROVED
    Since 2020-03-10
  • CA RA
    APPROVED
    Since 2019-10-03

Branch Locations

3750 University Avenue Suite 600, Riverside, CA 92501 • 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 Riverside CA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Riverside, CA
Previous Registrations
  • 1998-11-02 → 2002-10-03
    Morgan Stanley Dw Inc.
    Upland, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-11-11
S63 Uniform Securities Agent State Law Examination 1993-03-18
  • S65 Uniform Investment Adviser Law Examination
    2019-11-11
  • S63 Uniform Securities Agent State Law Examination
    1993-03-18
Other Names
  • Catherine Camille Ayres
  • Catherine Camille Hollifield

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIVERSIDE, CA
CETERA INVESTMENT ADVISERS LLC · Riverside, CA
UBS FINANCIAL SERVICES INC. · RIVERSIDE, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
WELLS FARGO CLEARING SERVICES, LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA

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