Catherine Ann Sheehy

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

• 05/2015 → 05/2017
  Tiaa-Cref Individual & Institutional Services, Llc
  Charlotte, NC
• 05/2017 → 06/2019
  Robert W. Baird & Co., Inc.
  Charlotte, NC
• 06/2019 → 12/2023
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 12/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC

Previous Registrations

• 2019-07-15 → 2024-01-12
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Raleigh, NC
  Charlotte, NC

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-10-08
• S63 Uniform Securities Agent State Law Examination
  2013-12-18

Other Names

• Catherine A Sheehy