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Catherine A Dauer

Morgan Stanley

Sarasota, FL

CRD 7589496

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-04-03
FL RA APPROVED 2025-03-03
  • TX RA
    APPROVED
    Since 2025-04-03
  • FL RA
    APPROVED
    Since 2025-03-03

Branch Locations

2 North Tamiami Trail Suite 1100, Sarasota, FL 34236 • 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 Sarasota FL 08/2023 Present
Highlands Highschool Fort Thomas KY 08/2016 05/2019
Elon University Elon NC 08/2019 05/2021
Universidad Pontifica Comillas Madrid 08/2021 05/2023
Morgan Stanley Naples FL 08/2022 12/2022
  • 08/2023 → Present
    Morgan Stanley
    Sarasota, FL
  • 08/2016 → 05/2019
    Highlands Highschool
    Fort Thomas, KY
  • 08/2019 → 05/2021
    Elon University
    Elon, NC
  • 08/2021 → 05/2023
    Universidad Pontifica Comillas
    Madrid
  • 08/2022 → 12/2022
    Morgan Stanley
    Naples, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-01
  • S66 Uniform Combined State Law Examination
    2025-03-01

View on SEC IAPD

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