Catherine M Coleman

Claim This Profile

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-07-22
CO	RA	APPROVED	2016-01-15

TX RA
APPROVED_RES

Since 2021-07-22
CO RA
APPROVED

Since 2016-01-15

Branch Locations

Denver, CO • United States

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

Organization	City	State	From	To
Morgan Stanley	Denver	CO	01/2016	Present
Morgan Stanley Private Bank, National Association	New York	NY	02/2016	Present

01/2016 → Present

Morgan Stanley

Denver, CO
02/2016 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-09-07 → 2016-01-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO
2001-12-31 → 2007-09-18

Citigroup Global Markets Inc.

Raleigh, NC

Raleigh, NC

Denver, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-17
S63	Uniform Securities Agent State Law Examination	1995-11-08

S65 Uniform Investment Adviser Law Examination

1999-09-17
S63 Uniform Securities Agent State Law Examination

1995-11-08

Other Names

Catherine Clarke
Catherine Milford Coleman
Catherine Clarke
Catherine Coleman

View on SEC IAPD

More in Denver, CO

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor