Catherine M. Downey

AMPERSAND INVESTMENT ADVISORS

CAMDEN, ME 04843

CRD#: 2627087

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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, is a registered financial advisor currently at AMPERSAND INVESTMENT ADVISORS located in Camden, Maine.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Catherine has 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

Are you a "fiduciary"?

Yes

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Mary Downey's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 18, 2026 - Present

AMPERSAND INVESTMENT ADVISORS

Office #1: 73 Elm St, Camden, ME 04843

RIA

CRD#: 341724

CAMDEN, ME

Past

January 7, 2026 - February 18, 2026

BIRCHBROOK

RIA

CRD#: 105164

BANGOR, ME

Past

June 1, 2009 - April 9, 2019

MORGAN STANLEY

RIA

CRD#: 149777

PORTLAND, ME

Past

June 1, 2009 - April 4, 2019

MORGAN STANLEY

CRD#: 149777

PORTLAND, ME

Past

June 25, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BANGOR, ME

Past

June 22, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BANGOR, ME

Past

November 7, 2002 - June 26, 2007

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BANGOR, ME

Past

July 24, 1995 - June 26, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

BANGOR, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(5/18/2026)

IAR

Texas
(6/1/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/14/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/2/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 3/6/2003

General Securities Sales Supervisor - General Module Examination

Current Firm

AMPERSAND INVESTMENT ADVISORS

AMPERSAND INVESTMENT ADVISORS | AMPERSAND INVESTMENT ADVISORS, PLLC

CRD#: 341724 / SEC#:

Maine

Registered Investment Advisory firm - (5/18/2026 Approved)

Texas

Registered Investment Advisory firm - (5/14/2026 Conditional Restricted)

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Contact information

Main Address

73 Elm St, Camden, ME 04843

Mailing Address

Phone number

(207) 217-0295

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Catherine M. Downey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Mary Downey's CRS (Customer Relationship Summary).

Certified licenses

Experience

BIRCHBROOK

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2006

Series 63

Date: 8/15/1995

SIE

Date: 10/1/2018

Series 31

Date: 8/14/2008

Series 7

Date: 7/21/1995

Series 9

Date: 4/2/2003

Series 10

Date: 3/6/2003

Current Firm

AMPERSAND INVESTMENT ADVISORS

Contact information

Documents

Red Flags

Company Information

AMPERSAND INVESTMENT ADVISORS

TRUST BUT VERIFY

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