Catherine Smith, financial advisor Portsmouth NH

Catherine Smith

CRD Number: 4557748
Current Firm: Morgan Stanley

Catherine Smith (CRD# 4557748) is an Investment Advisor Representative working at Morgan Stanley in Portsmouth, NH and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Smith Barney LLC Portsmouth, NH Nov 2022 - Current 1
Ubs Financial Services Inc. Portland, ME Feb 2010 - Nov 2022 12
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2003
Contact Info for Catherine L. Smith
Phone Number: 914-225-5510
Registered State(s):
  • ME
  • NH
  • TX
By the Numbers
  • Total Assets Under Management
    1,185,061
    MILLIONS
  • Total Number of Accounts
    2,233,188
    ACCOUNTS
  • Average Account Value
    $530,659
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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