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Cathy Davies-Harmon

Morgan Stanley

Rehoboth Beach, DE

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-23
DE RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-04-23
  • DE RA
    APPROVED
    Since 2009-06-01

Branch Locations

55 Cascade Lane, Rehoboth Beach, DE 19971 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Lewes DE 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Lewes, DE
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lewes, DE
  • 2001-03-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lewes, DE
    Lewes, DE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-07
S63 Uniform Securities Agent State Law Examination 1985-11-22
  • S65 Uniform Investment Adviser Law Examination
    1994-10-07
  • S63 Uniform Securities Agent State Law Examination
    1985-11-22
Other Names
  • Cathy A Davies
  • Cathy Ann Davies
  • Cathy A Daviesharmon

View on SEC IAPD

Other Firms

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CHARLES SCHWAB & CO., INC.
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
MAI CAPITAL ADVISOR
BDFS CAPITAL LLC

Other Investors

SARA L LAWSON
QUIAUNNA ELIZABETH POWELL
JACQUELYN KERRY BLUE
STEVEN ZACHARY DUNN
MARK ERIC ENGBERG
Stephanie P. Brown
Andrew R Brown
Christopher David Argo

Other Offices

BRYN MAWR TRUST ADVISORS, LLC · Rehoboth Beach, DE
CHARLES SCHWAB & CO., INC. · Rehoboth Beach, DE
J.P. MORGAN SECURITIES LLC · Rehoboth Beach, DE
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · REHOBOTH BEACH, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Rehoboth Beach, DE
AMERIPRISE FINANCIAL SERVICES, LLC · REHOBOTH BEACH, DE
MAI CAPITAL ADVISOR · REHOBOTH BEACH, DE
BDFS CAPITAL LLC · REHOBOTH BEACH, DE

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