Catherine Irene Shannon

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wayzata, MN
• 12/2009 → Present
  Bank Of America, N.A.
  Wayzata, MN

Other Businesses

1)BLUE DREAM BOOKS, LLC, WAYZATA, MN 55391; NON-INVESTMENT RELATED; COMMENCE DATE 06/04/2012, 3 HRS QUARTERLY; OWNER; THIS LLC HOUSES A HOBBY (TO LIMIT LIABILITY), WHICH INCLUDES WRITING AND ILLUSTRATING CHILDREN'S BOOKS. I*2701265, Entity Type: Entity For Profit, Name of OBA: K S (sole proprietor), Address: Minnetonka, Minnesota, 55345, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 08/05/2025, No Hours: 5 Monthly, No Hours during Trading: 2 Monthly, Duties: I developed a technology tool that I am looking potentially to sell. And I'd be responsible for everything related to this, Commercial venture to sell I.P.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-03-02
• S63 Uniform Securities Agent State Law Examination
  2006-02-16

Other Names

• Kate Shannon