Catherine M. Downey
Professional summary
Catherine Mary Downey, CFP®, who also goes by Catherine Downey, Cathy Downey, Catherine Mary Downey-rispoli, Catherine Downey-rispoli, Catherine Downey Rispoli, Catherine M Downey Rispoli, Catherine Mary Rispoli, was a registered financial advisor .
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Catherine had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2026 - Present
Office #1: 73 Elm St, Camden, ME 04843
January 7, 2026 - February 18, 2026
BIRCHBROOK
June 1, 2009 - April 9, 2019
MORGAN STANLEY
June 1, 2009 - April 4, 2019
MORGAN STANLEY
June 25, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 22, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 7, 2002 - June 26, 2007
A. G. EDWARDS & SONS, INC.
July 24, 1995 - June 26, 2007
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/18/2026)
Exams
Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
